E TRADE FINANCIAL CORP Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 6 rows, 6 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-10-02: Reporting owner WEINREICH JOSHUA; Form 4; Security Series A Preferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2020-10-02: Reporting owner WEINREICH JOSHUA; Form 4; Security Series B Preferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2020-01-27: Reporting owner WEINREICH JOSHUA; Form 3/A; Security Series A Preferred Stock; Transaction Holding.
- 2020-01-27: Reporting owner WEINREICH JOSHUA; Form 3/A; Security Series B Preferred Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-10-02 | WEINREICH JOSHUA Director | 4 | Series A Preferred Stock Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −25 0 owned after | no price filed | 2020-10-05 | |
| 2020-10-02 | WEINREICH JOSHUA Director | 4 | Series B Preferred Stock Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −25 0 owned after | no price filed | 2020-10-05 | |
| 2020-01-27 holding as of filing | WEINREICH JOSHUA Director | 3/A | Series A Preferred Stock Non-derivative · Direct | Holding | 25 owned after | no price filed | 2020-01-27 | |
| 2020-01-27 holding as of filing | WEINREICH JOSHUA Director | 3/A | Series B Preferred Stock Non-derivative · Direct | Holding | 25 owned after | no price filed | 2020-01-27 | |
| 2008-03-07 holding as of filing | CITADEL HOLDINGS II LP | CITADEL DERIVATIVES TRADING LTD | CITADEL ADVISORS LLC | Citadel Derivatives Group, LLC | CITADEL HOLDINGS I LP | CITADEL INVESTMENT GROUP II, L.L.C. | | | | | | 3 | Mandatory Convertible Preferred Unit: ET608M Derivative · Direct | Holding | $21.82 exercise price | 2008-03-07 | ||
| 2008-03-07 holding as of filing | CITADEL AC INVESTMENTS LTD | CITADEL INVESTMENT GROUP LLC | GRIFFIN KENNETH C | CITADEL EQUITY FUND LTD | CITADEL L P | | | | | 3 | Mandatory Convertible Preferred Unit: ET608M Derivative · Direct | Holding | $21.82 exercise price | 2008-03-07 |