SEC Form 4 · accession 0001015780-18-000020
E TRADE FINANCIAL CORP · ETFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brent Simonich
Officer — SVP, Corporate Controller
Period of report
Feb 3, 2018
Accepted (ET)
Feb 6, 2018 · 7:58 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, 2018 | F | 932 | $53.3475 | D | 28,691 | D | |
| Common StockF1 | Feb 3, 2018 | F | 431 | $53.3475 | D | 28,260 | D | |
| Common StockF2 | Feb 5, 2018 | F | 1,305 | $51.58 | D | 26,955 | D | |
| Common StockF3 | Feb 6, 2018 | F | 742 | $50.46 | D | 26,213 | 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withheld for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock originally made on February 3, 2017.
- 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withheld for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock originally made on February 5, 2016.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withheld for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock originally made on February 6, 2015.