Statement of Changes in Beneficial Ownership (4)
August 27 2020 - 6:27PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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LAWSON RODGER A |
2. Issuer Name and Ticker or Trading Symbol
E TRADE FINANCIAL CORP
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ETFC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
671 NORTH GLEBE ROAD, BALLSTON TOWER |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/25/2020 |
(Street)
ARLINGTON, VA 22203
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 8/25/2020 | | A | | 87 (1) | A | $0.0 | 92195 | D | |
Common Stock | 8/25/2020 | | A | | 56 (2) | A | $0.0 | 92251 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | On August 25, 2020, 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. |
(2) | On August 25, 2020, 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
LAWSON RODGER A 671 NORTH GLEBE ROAD BALLSTON TOWER ARLINGTON, VA 22203 | X |
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Signatures
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By: Lori Sher For: Rodger A. Lawson | | 8/27/2020 |
**Signature of Reporting Person | Date |
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