Current Report Filing (8-k)
September 08 2017 - 4:31PM
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: September 5, 2017
(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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11 Times Square, 32nd Floor, New York, New York 10036
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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))
Indicate by check mark whether the registrant is an emerging growth
company as defined in Rule 405 of the Securities Act of 1933 (§230.405
of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934
(§240.12b-2 of this chapter).
Emerging growth company
☐
If an emerging growth company, indicate by check mark if the registrant
has elected not to use the extended transition period for complying with
any new or revised financial accounting standards provided pursuant to
Section 13(a) of the Exchange Act. ☐
Item 5.02
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Departure of Directors or Certain Officers; Election of
Directors; Appointment of Certain Officers; Compensatory
Arrangements of Certain Officers.
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Michael Foley, Executive Vice President and Chief Technology and
Operations Officer, is leaving E*TRADE Financial Corporation (the
“Company”) to pursue other opportunities. His employment as an officer
ended on September 5, 2017, but the Company expects he will act as an
advisor to the Company for a transition period through December 31,
2017. Mr. Foley will be eligible to receive separation benefits in
accordance with his employment agreement dated February 15, 2017.
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.
Dated:
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September 8, 2017
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E*TRADE FINANCIAL CORPORATION
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By:
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/s/ Lori S. Sher
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Name: Lori S. Sher
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Title: Corporate Secretary
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