SEC Form 4 · accession 0001015780-16-000186
E TRADE FINANCIAL CORP · ETFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James P Healy
Director
Period of report
Dec 9, 2016
Accepted (ET)
Dec 13, 2016 · 5:07 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 | Dec 9, 2016 | A | 282 | $0.00 | A | 29,718 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents annual retainer for board working group member deferred into restrict stock units ("DSUs"). Each DSU vests in full on December 9, 2017 and represents a contingent right to receive one share of the Company's common stock.