Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| MORGAN STANLEYMS · Entity 2815 | Head Technology & Operations | July 17, 2026 | July 17, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
MORGAN STANLEY
Report date July 17, 2026 · Filed July 17, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 121,769.605 |
Ending reported balance
After 2026-07-17 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-07-17 · Sale · Disposed 17,064 · Balance 128,870.605 Row 2 · 2026-07-17 · Sale · Disposed 7,101 · Balance 121,769.605 |
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
E TRADE FINANCIAL CORP
Report date October 02, 2020 · Filed October 05, 2020
Section 16 reporting ended · disclosed 2020-10-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2020-10-02 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-10-02 · Grant · Acquired 100,584 · Balance 287,011 F1: Represents the number of shares of Common Stock received in settlement of performance share units, which vested as a result of the merger pursuant to the previously announced Agreement and Plan of Merger, dated as of February 20, 2020, by and among E*TRADE Financial Corporation, Moon-Eagle Merger Sub, Inc. and Morgan Stanley, as it may be amended from time to time, referred to as the Merger Agreement. Row 2 · 2020-10-02 · Disposition to issuer · Disposed 287,011 · Balance 0 F2: Disposed of as a result of the merger pursuant to the Merger Agreement. F3: Includes shares underlying previously reported equity awards. F4: Each share of common stock, including shares underlying previously reported equity awards, was cancelled pursuant to the Merger Agreement in exchange for the right to receive the consideration provided in the Merger Agreement (i.e., 1.0432 fully paid and nonassessable shares of voting common stock, $0.01 par value, of Morgan Stanley for each such share, subject to applicable tax withholding and with cash payable in lieu of any fractional shares). |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the number of shares of Common Stock received in settlement of performance share units, which vested as a result of the merger pursuant to the previously announced Agreement and Plan of Merger, dated as of February 20, 2020, by and among E*TRADE Financial Corporation, Moon-Eagle Merger Sub, Inc. and Morgan Stanley, as it may be amended from time to time, referred to as the Merger Agreement.
F2: Disposed of as a result of the merger pursuant to the Merger Agreement.
F3: Includes shares underlying previously reported equity awards.
F4: Each share of common stock, including shares underlying previously reported equity awards, was cancelled pursuant to the Merger Agreement in exchange for the right to receive the consideration provided in the Merger Agreement (i.e., 1.0432 fully paid and nonassessable shares of voting common stock, $0.01 par value, of Morgan Stanley for each such share, subject to applicable tax withholding and with cash payable in lieu of any fractional shares).
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 17, 2026 Filed Jul 17, 2026 20:06 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 7,101 | $216.88 | $1,540,064.88 |
DisclosureSEC source: 0001628280-26-048651 · wk-form4_1784318789.xml · nonDerivative · entry 2 Pizzi Michael A. · CIK 0001644151 · Head Technology & Operations 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 121,769.605 Read SEC document |
| July 17, 2026 Filed Jul 17, 2026 20:06 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 17,064 | $215.00 | $3,668,760.00 |
DisclosureSEC source: 0001628280-26-048651 · wk-form4_1784318789.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Head Technology & Operations 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 128,870.605 Read SEC document |
| March 12, 2026 Filed Mar 13, 2026 20:18 UTC | MORGAN STANLEY MS · Entity 2815 | Tax withholdingCommon Stock | 7,900 | $160.89 | $1,271,031.00 |
DisclosureSEC source: 0001628280-26-017718 · wk-form4_1773433111.xml · nonDerivative · entry 2 Pizzi Michael A. · CIK 0001644151 · Head Technology & Operations 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 145,467.42 F2 · kind: Shares withheld to satisfy taxes upon the conversion of the PSU Award described in footnote (1). Read SEC document |
| March 12, 2026 Filed Mar 13, 2026 20:18 UTC | MORGAN STANLEY MS · Entity 2815 | GrantCommon Stock | 16,432 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-017718 · wk-form4_1773433111.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Head Technology & Operations 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 153,367.42 F1 · kind: Shares earned based on the Company's achievement of pre-established relative return on tangible common equity performance criteria with respect to one-half of the target performance stock unit award ("PSU Award") granted on January 18, 2023. Read SEC document |
| February 19, 2026 Filed Feb 20, 2026 21:18 UTC | MORGAN STANLEY MS · Entity 2815 | Tax withholdingCommon Stock | 7,900 | $176.59 | $1,395,061.00 |
DisclosureSEC source: 0001628280-26-010220 · wk-form4_1771622323.xml · nonDerivative · entry 2 Pizzi Michael A. · CIK 0001644151 · Head Technology & Operations 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 136,935.42 F2 · kind: Shares withheld to satisfy taxes upon the conversion of the PSU Award described in footnote (1). Read SEC document |
| February 19, 2026 Filed Feb 20, 2026 21:18 UTC | MORGAN STANLEY MS · Entity 2815 | GrantCommon Stock | 16,432 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-010220 · wk-form4_1771622323.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Head Technology & Operations 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 144,835.42 F1 · kind: Shares earned based on the Company's achievement of pre-established Company average return on tangible common equity performance criteria with respect to one-half of the target performance stock unit award ("PSU Award") granted on January 18, 2023. Read SEC document |
| January 20, 2026 Filed Jan 22, 2026 21:14 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 20,000 | $184.55 | $3,691,000.00 |
DisclosureSEC source: 0001628280-26-003088 · wk-form4_1769116493.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Head Technology & Operations 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 127,872.293 Read SEC document |
| January 16, 2026 Filed Jan 16, 2026 21:38 UTC | MORGAN STANLEY MS · Entity 2815 | Tax withholdingCommon Stock | 12,218 | $191.23 | $2,336,448.14 |
DisclosureSEC source: 0001628280-26-002408 · wk-form4_1768599514.xml · nonDerivative · entry 2 Pizzi Michael A. · CIK 0001644151 · Head Technology & Operations 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 147,872.293 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 18, 2023. Read SEC document |
| January 16, 2026 Filed Jan 16, 2026 21:38 UTC | MORGAN STANLEY MS · Entity 2815 | GrantCommon Stock | 23,213.92 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-002408 · wk-form4_1768599514.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Head Technology & Operations 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 160,090.293 F1 · kind: Restricted Stock Units granted in 2026 as part of 2025 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| July 17, 2025 Filed Jul 18, 2025 20:08 UTC | MORGAN STANLEY MS · Entity 2815 | GiftCommon Stock | 750 | $0.00 | $0.00 |
DisclosureSEC source: 0000895421-25-000424 · wk-form4_1752869307.xml · nonDerivative · entry 2 Pizzi Michael A. · CIK 0001644151 · Head Technology & Operations 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 135,656.901 Read SEC document |
| July 17, 2025 Filed Jul 18, 2025 20:08 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 18,000 | $140.62 | $2,531,077.20 |
DisclosureSEC source: 0000895421-25-000424 · wk-form4_1752869307.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Head Technology & Operations 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 136,406.901 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $140.59 to $140.65, inclusive. The Reporting Person undertakes to provide to Morgan Stanley, any security holder of Morgan Stanley, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| February 21, 2025 Filed Feb 21, 2025 21:43 UTC | MORGAN STANLEY MS · Entity 2815 | Tax withholdingCommon Stock | 15,603 | $134.34 | $2,096,107.02 |
DisclosureSEC source: 0001628280-25-007155 · wk-form4_1740174195.xml · nonDerivative · entry 2 Pizzi Michael A. · CIK 0001644151 · Head Technology & Operations 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 153,753.955 F2 · kind: Shares withheld to satisfy taxes upon the conversion of the PSU Awards described in footnote (1). Read SEC document |
| February 21, 2025 Filed Feb 21, 2025 21:43 UTC | MORGAN STANLEY MS · Entity 2815 | GrantCommon Stock | 32,453 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-25-007155 · wk-form4_1740174195.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Head Technology & Operations 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 169,356.955 F1 · kind: Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of performance stock units granted under the Morgan Stanley Long-Term Incentive Program ("PSU Awards") on January 20, 2022. Read SEC document |
| January 21, 2025 Filed Jan 23, 2025 21:10 UTC | MORGAN STANLEY MS · Entity 2815 | GiftCommon Stock | 1,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-25-002361 · wk-form4_1737666644.xml · nonDerivative · entry 2 Pizzi Michael A. · CIK 0001644151 · Head Technology & Operations 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 136,287.814 Read SEC document |
| January 21, 2025 Filed Jan 23, 2025 21:10 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 18,391 | $136.92 | $2,518,163.77 |
DisclosureSEC source: 0001628280-25-002361 · wk-form4_1737666644.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Head Technology & Operations 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 137,787.814 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $136.67 to $137.36, inclusive. The Reporting Person undertakes to provide to Morgan Stanley, any security holder of Morgan Stanley, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| January 17, 2025 Filed Jan 17, 2025 21:49 UTC | MORGAN STANLEY MS · Entity 2815 | Tax withholdingCommon Stock | 17,855 | $135.81 | $2,424,887.55 |
DisclosureSEC source: 0001628280-25-001854 · wk-form4_1737150556.xml · nonDerivative · entry 2 Pizzi Michael A. · CIK 0001644151 · Head Technology & Operations 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 156,178.814 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 20, 2022, and the vesting of Restricted Stock Units granted on January 18, 2023 and January 17, 2024. Read SEC document |
| January 17, 2025 Filed Jan 17, 2025 21:49 UTC | MORGAN STANLEY MS · Entity 2815 | GrantCommon Stock | 29,328.67 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-25-001854 · wk-form4_1737150556.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Head Technology & Operations 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 174,033.814 F1 · kind: Restricted Stock Units granted in 2025 as part of 2024 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| October 02, 2020 Filed Oct 5, 2020 17:32 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Disposition to issuerCommon Stock | 287,011 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950103-20-019664 · dp138326_4-pizzi.xml · nonDerivative · entry 2 Pizzi Michael A. · CIK 0001644151 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · kind: Disposed of as a result of the merger pursuant to the Merger Agreement. F3 · shares: Includes shares underlying previously reported equity awards. F4 · price: Each share of common stock, including shares underlying previously reported equity awards, was cancelled pursuant to the Merger Agreement in exchange for the right to receive the consideration provided in the Merger Agreement (i.e., 1.0432 fully paid and nonassessable shares of voting common stock, $0.01 par value, of Morgan Stanley for each such share, subject to applicable tax withholding and with cash payable in lieu of any fractional shares). Read SEC document |
| October 02, 2020 Filed Oct 5, 2020 17:32 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 100,584 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-20-019664 · dp138326_4-pizzi.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 287,011 F1 · shares: Represents the number of shares of Common Stock received in settlement of performance share units, which vested as a result of the merger pursuant to the previously announced Agreement and Plan of Merger, dated as of February 20, 2020, by and among E*TRADE Financial Corporation, Moon-Eagle Merger Sub, Inc. and Morgan Stanley, as it may be amended from time to time, referred to as the Merger Agreement. Read SEC document |
| September 21, 2020 Filed Sep 23, 2020 18:01 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 1,387 | $50.02 | $69,377.74 |
DisclosureSEC source: 0001015780-20-000203 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,427 F1 · shares: Shares reported were withheld for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock originally granted on September 21, 2018. Read SEC document |
| August 25, 2020 Filed Aug 27, 2020 17:41 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 258 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-20-000195 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,814 F1 · shares: 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. Read SEC document |
| August 15, 2020 Filed Aug 18, 2020 17:45 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 936 | $54.13 | $50,665.68 |
DisclosureSEC source: 0001015780-20-000170 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,556 F1 · shares: Shares reported were withheld for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock originally granted on August 15, 2019. Read SEC document |
| May 19, 2020 Filed May 21, 2020 17:42 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 345 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-20-000155 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,492 F1 · shares: On May 19, 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. Read SEC document |
| March 02, 2020 Filed Mar 4, 2020 17:04 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 305 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-20-000094 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,147 F1 · shares: On March 2, 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. Read SEC document |
| February 09, 2020 Filed Feb 11, 2020 18:16 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 3,450 | $43.37 | $149,626.50 |
DisclosureSEC source: 0001015780-20-000053 · edgardoc.xml · nonDerivative · entry 3 Pizzi Michael A. · CIK 0001644151 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,842 F3 · shares: Shares reported were withheld for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock originally granted on February 9, 2018. Read SEC document |
| February 08, 2020 Filed Feb 11, 2020 18:16 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 5,063 | $43.37 | $219,582.31 |
DisclosureSEC source: 0001015780-20-000053 · edgardoc.xml · nonDerivative · entry 2 Pizzi Michael A. · CIK 0001644151 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 191,292 F2 · shares: Shares reported were withheld for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock originally granted on February 8, 2019. Read SEC document |
| February 07, 2020 Filed Feb 11, 2020 18:16 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 57,643 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-20-000053 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,355 F1 · shares: Restricted Stock Unit award that will vest over three years, with one-third vesting on February 7, 2021; one-third vesting on February 7, 2022; and the remaining one-third vesting on February 7, 2023. Read SEC document |
| February 05, 2020 Filed Feb 7, 2020 18:25 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 1,836 | $44.53 | $81,757.08 |
DisclosureSEC source: 0001015780-20-000036 · edgardoc.xml · nonDerivative · entry 4 Pizzi Michael A. · CIK 0001644151 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,712 F4 · shares: Shares reported were withheld for payment of taxes associated with the vesting of performance share units previously granted on February 9, 2018. Read SEC document |
| February 05, 2020 Filed Feb 7, 2020 18:25 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 6,097 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-20-000036 · edgardoc.xml · nonDerivative · entry 3 Pizzi Michael A. · CIK 0001644151 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,548 F3 · shares: Represents the number of shares of Common Stock received in settlement of performance share units previously granted to the reporting person on February 9, 2018, which vested based upon the Company's achievement of earnings per share and return on equity targets relating to 2019. Read SEC document |
| February 05, 2020 Filed Feb 7, 2020 18:25 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 2,269 | $44.53 | $101,038.57 |
DisclosureSEC source: 0001015780-20-000036 · edgardoc.xml · nonDerivative · entry 2 Pizzi Michael A. · CIK 0001644151 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,451 F2 · shares: Shares reported were withheld for payment of taxes associated with the vesting of performance share units previously granted on February 3, 2017. Read SEC document |
| February 05, 2020 Filed Feb 7, 2020 18:25 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 7,539 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-20-000036 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,720 F1 · shares: Represents the number of shares of Common Stock received in settlement of performance share units previously granted to the reporting person on February 3, 2017, which vested based upon the Company's achievement of earnings per share and return on equity targets relating to 2019. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 17:37 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 2,346 | $42.88 | $100,584.75 |
DisclosureSEC source: 0001015780-20-000025 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,181 F1 · shares: Shares reported were withheld for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock originally made on February 3, 2017. Read SEC document |
| November 15, 2019 Filed Nov 19, 2019 17:15 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 221 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-19-000233 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,527 F1 · shares: On November 15, 2019, 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. Read SEC document |
| September 21, 2019 Filed Sep 24, 2019 17:02 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 1,385 | $45.20 | $62,602.00 |
DisclosureSEC source: 0001015780-19-000189 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,306 F1 · shares: Shares reported were withheld for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock units originally made on September 21, 2018. Read SEC document |
| August 26, 2019 Filed Aug 28, 2019 17:10 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 253 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-19-000180 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,691 F1 · shares: On August 26, 2019, 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. Read SEC document |
| August 15, 2019 Filed Aug 19, 2019 19:23 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 6,148 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-19-000160 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,438 F1 · shares: Restricted Stock Unit award that will vest over three years, with one-third vesting on August 15, 2020; one-third vesting on August 15, 2021; and the remaining one-third vesting on August 15, 2022. Read SEC document |
| May 20, 2019 Filed May 22, 2019 17:24 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 189 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-19-000141 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · EVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,290 F1 · shares: On May 20, 2019, 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. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 20:43 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 93 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-19-000076 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · EVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,101 F1 · shares: On February 15, 2019, 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. Read SEC document |
| February 09, 2019 Filed Feb 12, 2019 20:54 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 626 | $46.06 | $28,832.00 |
DisclosureSEC source: 0001015780-19-000052 · edgardoc.xml · nonDerivative · entry 2 Pizzi Michael A. · CIK 0001644151 · EVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,008 F1 · shares: Shares reported were withheld for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock originally made on February 9, 2018. Read SEC document |
| February 09, 2019 Filed Feb 12, 2019 20:54 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 2,817 | $46.06 | $129,743.98 |
DisclosureSEC source: 0001015780-19-000052 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · EVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,634 F1 · shares: Shares reported were withheld for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock originally made on February 9, 2018. Read SEC document |
| February 08, 2019 Filed Feb 8, 2019 21:38 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 5,427 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-19-000039 · edgardoc.xml · nonDerivative · entry 10 Pizzi Michael A. · CIK 0001644151 · EVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,451 F7 · shares: Restricted Stock Unit award that will vest over three years, with one-third vesting on February 8, 2020; one-third vesting on February 8, 2021; and the remaining one-third vesting on February 8, 2022. Read SEC document |
| February 08, 2019 Filed Feb 8, 2019 21:38 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 29,311 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-19-000039 · edgardoc.xml · nonDerivative · entry 9 Pizzi Michael A. · CIK 0001644151 · EVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,024 F7 · shares: Restricted Stock Unit award that will vest over three years, with one-third vesting on February 8, 2020; one-third vesting on February 8, 2021; and the remaining one-third vesting on February 8, 2022. Read SEC document |
| February 06, 2019 Filed Feb 8, 2019 21:38 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 1,920 | $46.98 | $90,206.40 |
DisclosureSEC source: 0001015780-19-000039 · edgardoc.xml · nonDerivative · entry 8 Pizzi Michael A. · CIK 0001644151 · EVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,713 F6 · shares: Shares reported were withheld for payment of taxes associated with the vesting of performance share units previously granted on February 9, 2018. Read SEC document |
| February 06, 2019 Filed Feb 8, 2019 21:38 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 4,213 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-19-000039 · edgardoc.xml · nonDerivative · entry 7 Pizzi Michael A. · CIK 0001644151 · EVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,633 F5 · shares: Represents the number of shares of Common Stock received in settlement of performance share units previously granted to the reporting person on February 9, 2018, which vested based upon the Company's achievement of earnings per share and return on equity targets relating to 2018. Read SEC document |
| February 06, 2019 Filed Feb 8, 2019 21:38 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 1,920 | $46.98 | $90,206.40 |
DisclosureSEC source: 0001015780-19-000039 · edgardoc.xml · nonDerivative · entry 6 Pizzi Michael A. · CIK 0001644151 · EVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,420 F6 · shares: Shares reported were withheld for payment of taxes associated with the vesting of performance share units previously granted on February 9, 2018. Read SEC document |
| February 06, 2019 Filed Feb 8, 2019 21:38 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 4,213 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-19-000039 · edgardoc.xml · nonDerivative · entry 5 Pizzi Michael A. · CIK 0001644151 · EVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,340 F5 · shares: Represents the number of shares of Common Stock received in settlement of performance share units previously granted to the reporting person on February 9, 2018, which vested based upon the Company's achievement of earnings per share and return on equity targets relating to 2018. Read SEC document |
| February 06, 2019 Filed Feb 8, 2019 21:38 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 4,748 | $46.98 | $223,072.91 |
DisclosureSEC source: 0001015780-19-000039 · edgardoc.xml · nonDerivative · entry 4 Pizzi Michael A. · CIK 0001644151 · EVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,127 F4 · shares: Shares reported were withheld for payment of taxes associated with the vesting of performance share units previously granted on February 3, 2017. Read SEC document |
| February 06, 2019 Filed Feb 8, 2019 21:38 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 10,420 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-19-000039 · edgardoc.xml · nonDerivative · entry 3 Pizzi Michael A. · CIK 0001644151 · EVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,875 F3 · shares: Represents the number of shares of Common Stock received in settlement of performance share units previously granted to the reporting person on February 3, 2017, which vested based upon the Company's achievement of earnings per share and return on equity targets relating to 2018. Read SEC document |
| February 06, 2019 Filed Feb 8, 2019 21:38 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 2,968 | $46.98 | $139,444.06 |
DisclosureSEC source: 0001015780-19-000039 · edgardoc.xml · nonDerivative · entry 2 Pizzi Michael A. · CIK 0001644151 · EVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,455 F2 · shares: Shares reported were withheld for payment of taxes associated with the vesting of performance share units previously granted on February 5, 2016. Read SEC document |
| February 06, 2019 Filed Feb 8, 2019 21:38 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 6,514 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-19-000039 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · EVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,423 F1 · shares: Represents the number of shares of Common Stock received in settlement of performance share units previously granted to the reporting person on February 5, 2016, which vested based upon the Company's achievement of earnings per share and return on equity targets relating to 2018. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.