SEC Form 4 · accession 0001015780-17-000015
E TRADE FINANCIAL CORP · ETFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brent Simonich
Officer — Principal Accounting Officer
Period of report
Feb 3, 2017
Accepted (ET)
Feb 7, 2017 · 5:15 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 3, 2017 | A | 8,578 | $0.00 | A | 44,425 | D | |
| Common StockF1 | Feb 3, 2017 | A | 4,289 | $0.00 | A | 48,714 | D | |
| Common StockF2 | Feb 5, 2017 | F | 1,541 | $34.97 | D | 47,173 | D | |
| Common StockF3 | Feb 6, 2017 | F | 1,251 | $34.693 | D | 45,922 | D | |
| Common StockF4 | Feb 6, 2017 | F | 815 | $34.693 | D | 45,107 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted Stock Unit award that will vest over three years, with one-third vesting on February 3, 2018; one-third vesting on February 3, 2019; and the remaining one-third vesting on February 3, 2020.
- F2Shares 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withheld for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock originally made on February 5, 2016.
- 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withheld for payment of taxes associated with the vesting of approximately one-fourth of a grant of restricted stock originally made on February 6, 2013.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withheld for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock originally made on February 6, 2015.