SEC Form 4/A · accession 0001015780-18-000097
E TRADE FINANCIAL CORP · ETFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Michael John Curcio
Officer — Chief Brokerage Officer
Period of report
Sep 12, 2018
Accepted (ET)
Oct 3, 2018 · 6:25 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,F2 | Sep 12, 2018 | F | 42,911 | $53.85 | D | 186,651 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Due to an administrative error, an additional 4,029 shares were incorrectly reported as withheld to cover taxes, which has been corrected in this amendment.
- F2Shares reported were withheld for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock units originally made on September 12, 2016.