SEC Form 4 · accession 0001015780-16-000116
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 9, 2016
Accepted (ET)
Feb 11, 2016 · 5:00 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 9, 2016 | F | 12,992 | $20.865 | D | 260,633 | D | |
| Common StockF2 | Feb 10, 2016 | S | 6,916 | $21.2845 | D | 253,717 | D | |
| Common StockF2 | Feb 10, 2016 | S | 19,594 | $21.2258 | D | 234,123 | 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withheld for payment of taxes associated with the vesting of approximately one-fourth of a grant of restricted stock originally made on February 9, 2012.
- F2Sale of common stock pursuant to a Rule 10b5-1 plan entered into on August 5, 2015.