SEC Form 4 · accession 0001015780-15-000016
E TRADE FINANCIAL CORP · ETFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew J Audette
Officer — EVP & Chief Financial Officer
Period of report
Feb 6, 2015
Accepted (ET)
Feb 10, 2015 · 6:41 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001015780
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 6, 2015 | A | 33,051 | $0.00 | A | 203,040 | D | |
| Common StockF2 | Feb 6, 2015 | A | 23,135 | $0.00 | A | 226,175 | D | |
| Common StockF3 | Feb 6, 2015 | F | 7,621 | $25.7175 | D | 218,554 | D | |
| Common StockF4 | Feb 7, 2015 | F | 6,186 | $25.7175 | D | 212,368 | D | |
| Common StockF5 | Feb 9, 2015 | F | 8,473 | $25.1975 | D | 203,895 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted Stock Unit award relating to 2014 compensation will vest over three years, with one-third vesting on February 6, 2016; one-third vesting on February 6, 2017; and the remaining one-third vesting on February 6, 2018.
- F2Restricted Stock Unit award relating to 2015 compensation will vest over three years, with one-third vesting on February 6, 2016; one-third vesting on February 6, 2017; and the remaining one-third vesting on February 6, 2018.
- F3Shares reported were withheld for payment of taxes associated with the vesting of approximately one-fourth of a grant of restricted stock originally made on February 6, 2013.
- F4Shares reported were withheld for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock originally made on February 7, 2014.
- F5Shares reported were withheld for payment of taxes associated with the vesting of approximately one-fourth of a grant of restricted stock originally made on February 9, 2012.