4//SEC Filing
Roessner Karl A 4
Accession 0001015780-18-000029
CIK 0001015780other
Filed
Feb 8, 7:00 PM ET
Accepted
Feb 9, 9:39 PM ET
Size
28.1 KB
Accession
0001015780-18-000029
Insider Transaction Report
Form 4
Roessner Karl A
EVP & General Counsel
Transactions
- Exercise/Conversion
Common Stock
2018-02-07$17.58/sh+4,837$85,034→ 196,828 total - Sale
Common Stock
2018-02-07$52.52/sh−1,366$71,743→ 102,389 total - Tax Payment
Common Stock
2018-02-07$52.03/sh−5,555$289,027→ 112,154 total - Award
Common Stock
2018-02-07+15,817→ 127,971 total - Tax Payment
Common Stock
2018-02-07$52.03/sh−5,556$289,079→ 107,272 total - Sale
Common Stock
2018-02-08$50.92/sh−10,519$535,626→ 102,583 total - Award
Common Stock
2018-02-09+30,829→ 129,762 total - Exercise/Conversion
Stock Option
2018-02-07−4,837→ 0 totalExercise: $17.58Exp: 2018-02-10→ Common Stock (4,837 underlying) - Sale
Common Stock
2018-02-07$52.03/sh−93,073$4,842,244→ 103,755 total - Award
Common Stock
2018-02-07+10,439→ 112,828 total - Award
Common Stock
2018-02-07+10,437→ 117,709 total - Tax Payment
Common Stock
2018-02-07$52.03/sh−8,418$437,989→ 119,553 total - Sale
Common Stock
2018-02-08$49.82/sh−6,451$321,402→ 113,102 total - Sale
Common Stock
2018-02-08$51.46/sh−3,650$187,826→ 98,933 total
Footnotes (13)
- [F1]Acquisition of common stock upon the exercise of stock options pursuant to a Rule 10b5-1 plan entered into on February 25, 2017.
- [F10]The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $50.38 to $51.37, inclusive. The reporting person undertakes to provide to E*TRADE Financial Corporation, any security holder of E*TRADE Financial Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- [F11]The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $51.38 to $51.65, inclusive. The reporting person undertakes to provide to E*TRADE Financial Corporation, any security holder of E*TRADE Financial Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- [F12]Restricted Stock Unit award that will vest over three years, with one-third vesting on February 9, 2019; one-third vesting on February 9, 2020; and the remaining one-third vesting on February 9, 2021.
- [F13]The stock options vested in four annual installments beginning on February 10, 2012.
- [F2]Sale of common stock pursuant to a Rule 10b5-1 plan entered into on February 25, 2017.
- [F3]The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $51.50 to $52.49, inclusive. The reporting person undertakes to provide to E*TRADE Financial Corporation, any security holder of E*TRADE Financial Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- [F4]The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $52.50 to $52.63, inclusive. The reporting person undertakes to provide to E*TRADE Financial Corporation, any security holder of E*TRADE Financial Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- [F5]Represents the number of shares of Common Stock received in settlement of performance share units previously granted to the reporting person on February 3, 2017, which vested based upon the Company's achievement of earnings per share and return on equity targets relating to 2017.
- [F6]Shares reported were withheld for payment of taxes associated with the vesting of performance share units previously granted on February 3, 2017.
- [F7]Represents the number of shares of Common Stock received in settlement of performance share units previously granted to the reporting person on February 5, 2016, which vested based upon the Company's achievement of earnings per share and return on equity targets relating to 2017.
- [F8]Shares reported were withheld for payment of taxes associated with the vesting of performance share units previously granted on February 5, 2016.
- [F9]The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $49.37 to $50.35, inclusive. The reporting person undertakes to provide to E*TRADE Financial Corporation, any security holder of E*TRADE Financial Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
Documents
Issuer
E TRADE FINANCIAL CORP
CIK 0001015780
Entity typeother
Related Parties
1- filerCIK 0001580536
Filing Metadata
- Form type
- 4
- Filed
- Feb 8, 7:00 PM ET
- Accepted
- Feb 9, 9:39 PM ET
- Size
- 28.1 KB