SEC Form 4 · accession 0001015780-18-000092
E TRADE FINANCIAL CORP · ETFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael A. Pizzi
Officer — Chief Operating Officer & CFO
Period of report
Sep 21, 2018
Accepted (ET)
Sep 25, 2018 · 5:30 pm EDT
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 | Sep 21, 2018 | A | 9,007 | $0.00 | A | 78,171 | 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 September 21, 2019; one-third vesting on September 21, 2020; and the remaining one-third vesting on September 21, 2021.