SEC Form 4 · accession 0001015780-18-000010
E TRADE FINANCIAL CORP · ETFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph L Sclafani
Director
Period of report
Jan 30, 2018
Accepted (ET)
Feb 1, 2018 · 5:12 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 | Jan 30, 2018 | M | 2,000 | $31.75 | A | 36,304 | D | |
| Common Stock | Jan 30, 2018 | S | 2,000 | $52.75 | D | 34,304 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F2 | $31.75 | Jan 30, 2018 | M | 2,000 | D | — | Jun 30, 2018 | Common Stock | 2,000 | 0 | D |
Explanation of responses
- F1Acquisition of common stock upon the exercise of stock options.
- F2The stock options vested in two annual installments beginning on June 30, 2009.