SEC Form 4 · accession 0001015780-15-000023
E TRADE FINANCIAL CORP · ETFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Karl A Roessner
Officer — EVP & General Counsel
Period of report
Feb 10, 2015
Accepted (ET)
Feb 12, 2015 · 5:08 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 10, 2015 | F | 662 | $25.42 | D | 270,589 | D | |
| Common StockF2 | Feb 10, 2015 | S | 3,491 | $25.3912 | D | 267,098 | D | |
| Common StockF3 | Feb 10, 2015 | S | 5,111 | $25.3947 | D | 261,987 | D | |
| Common StockF3 | Feb 10, 2015 | S | 2,721 | $25.2803 | D | 259,266 | D | |
| Common StockF2 | Feb 11, 2015 | S | 179 | $25.49 | D | 259,087 | D | |
| Common StockF3 | Feb 11, 2015 | S | 349 | $25.49 | D | 258,738 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares 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withheld for payment of taxes associated with the vesting of approximately one-fourth of a grant of restricted stock originally made on February 10, 2011.
- F2Sale of common stock pursuant to a Rule 10b5-1 plan entered into on October 28, 2013.
- F3Sale of common stock pursuant to a Rule 10b5-1 plan entered into on March 5, 2014.