SEC Form 4/A · accession 0001015780-19-000022
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
Rodger A Lawson
Officer — Executive Chairman · Director
Period of report
Nov 15, 2018
Accepted (ET)
Feb 5, 2019 · 9:50 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 | Nov 15, 2018 | A | 116 | $0.00 | A | 114,307 | D | |
| Common StockF2 | Nov 15, 2018 | A | 49 | $0.00 | A | 114,356 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On November 15, 2018, the Issuer paid a dividend of $0.14 per share of common stock, and upon such payment the Issuer awarded dividend equivalent units on the reporting person's existing awards of restricted stock units. Each such dividend equivalent unit represents a contingent right to receive one share of common stock, subject to vesting on the same terms as the respective underlying restricted stock units.
- F2On November 15, 2018, the Issuer paid a dividend of $0.14 per share of common stock, and upon such payment the Issuer awarded dividend equivalent units on the reporting person's existing awards of deferred restricted stock units. Each such dividend equivalent unit represents a contingent right to receive one share of common stock, subject to vesting and settlement on the same terms as the respective underlying deferred restricted stock units.