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ETFC E TRADE Financial Corporation

49.26
0.00 (0.00%)
Last Updated: 01:00:00
Delayed by 15 minutes
Share Name Share Symbol Market Type
E TRADE Financial Corporation NASDAQ:ETFC NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 49.26 48.50 51.87 0 01:00:00

Amended Statement of Beneficial Ownership (3/a)

03/08/2015 10:02pm

Edgar (US Regulatory)


FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response...
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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
                      

1. Name and Address of Reporting Person *

Pizzi Michael A.

2. Date of Event Requiring Statement (MM/DD/YYYY)
6/16/2015 

3. Issuer Name and Ticker or Trading Symbol

E TRADE FINANCIAL Corp [ETFC]

(Last)        (First)        (Middle)

1271 AVENUE OF THE AMERICAS, 14TH FLOOR

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                            _____ 10% Owner
___ X ___ Officer (give title below)          _____ Other (specify below)
EVP & Chief Financial Officer /

(Street)

NEW YORK, NY 10020-1302       

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed (MM/DD/YYYY)

6/26/2015 

6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person


Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option     (1) 2/20/2016   Common Stock   3078   $9.248   D    
Stock Option     (1) 2/11/2017   Common Stock   11249   $14.6   D    
Stock Option     (1) 2/10/2018   Common Stock   11727   $17.58   D    

Explanation of Responses:
( 1)  Options are fully exercisable

Remarks:
This form is filed to report options held by the reporting person on June 16, 2015, the date on which the reporting person became an officer of the Company.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Pizzi Michael A.
1271 AVENUE OF THE AMERICAS
14TH FLOOR
NEW YORK, NY 10020-1302


EVP & Chief Financial Officer

Signatures
By: Karl A. Roessner For: Michael A. Pizzi 8/3/2015
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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