Current Report Filing (8-k)
August 15 2016 - 8:06AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant
to Section 13 or 15(d) of
the Securities Exchange Act of 1934
Date of
report: August 15, 2016
(Date
of earliest event reported)
E*TRADE
Financial Corporation
(Exact
name of Registrant as Specified in its Charter)
Delaware
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1-11921
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94-2844166
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(State or other jurisdiction
of incorporation or
organization)
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(Commission File Number)
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(I.R.S. Employer
Identification Number)
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1271 Avenue of the Americas, 14th Floor, New York, New York
10020
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(Address
of Principal Executive Offices and Zip Code)
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(646) 521-4300
(Registrant’s Telephone Number, including
Area Code)
Not Applicable
(Former Name or Former
Address, if Changed Since Last Report)
Check the
appropriate box below if the Form 8-K filing is intended to
simultaneously satisfy the filing obligation of the registrant under any
of the following provisions:
⃞
Written
communications pursuant to Rule 425 under the Securities Act (17 CFR
230.425)
⃞
Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12)
⃞
Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR
240.14d-2(b))
⃞
Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR
240.13e-4(c))
Item 7.01 Regulation FD Disclosure
On August 15, 2016 the Company filed a prospectus supplement relating to
an offering of up to $400 million of fixed-to-floating rate
non-cumulative perpetual preferred stock, with a liquidation preference
of $1,000 per share. A copy of the Company’s press release is attached
hereto as Exhibit 99.1 and incorporated by reference herein.
Investors should note that the Company announces material financial
information in SEC filings, press releases and public conference calls.
Based on guidance from the SEC, the Company may also use the Investor
Relations section of its corporate website, about.etrade.com, to
communicate with investors about the Company. It is possible that the
financial and other information posted there could be deemed to be
material information. The information on the Company’s corporate website
is not part of this document.
The information appearing in this Item 7.01 shall not be deemed “filed”
for purposes of Section 18 of the Securities Exchange act of 1934, or
otherwise subject to the liabilities of that section.
ITEM 9.01 FINANCIAL STATEMENTS AND EXHIBITS
(d) Exhibits
99.1 Press release dated August 15, 2016
SIGNATURES
Pursuant to
the requirements of the Securities Exchange Act of 1934, the registrant
has duly caused this report to be signed on its behalf by the
undersigned hereunto duly authorized.
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E*TRADE FINANCIAL CORPORATION
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Date:
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August 15, 2016
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By:
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/s/ Karl A. Roessner
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Name:
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Karl A. Roessner
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Title:
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Corporate Secretary
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