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 |
|---|---|---|---|---|---|---|
| February 05, 2019 Filed Feb 5, 2019 21:50 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 5,033 | $47.20 | $237,532.44 |
DisclosureSEC source: 0001015780-19-000023 · edgardoc.xml · nonDerivative · entry 2 Pizzi Michael A. · CIK 0001644151 · EVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,909 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 made on February 5, 2016. Read SEC document |
| February 03, 2019 Filed Feb 5, 2019 21:50 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 2,396 | $47.30 | $113,330.80 |
DisclosureSEC source: 0001015780-19-000023 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · EVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,942 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, 2018 Filed Nov 19, 2018 17:18 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 270 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-18-000128 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Chief Operating Officer & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,441 F1 · shares: On November 15, 2018, 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 |
| November 15, 2018 Filed Feb 5, 2019 21:52 UTC Amendment | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 167 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-19-000025 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Chief Operating Officer & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,338 F1 · shares: On November 15, 2018, 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 |
| November 02, 2018 Filed Nov 5, 2018 17:48 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | PurchaseCommon Stock | 10,000 | $51.67 | $516,735.00 |
DisclosureSEC source: 0001015780-18-000108 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Chief Operating Officer & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,171 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $51.61 to $51.70, inclusive. The reporting person undertakes to provide to E*TRADE Financial Corporation, any security holder of E*TRADE Financial Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this Form 4. Read SEC document |
| September 21, 2018 Filed Sep 25, 2018 17:30 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 9,007 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-18-000092 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Chief Operating Officer & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,171 F1 · shares: Restricted Stock Unit award that will vest over three years, with one-third vesting on September 21, 2019; one-third vesting on September 21, 2020; and the remaining one-third vesting on September 21, 2021. Read SEC document |
| February 09, 2018 Filed Feb 9, 2018 21:39 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 4,110 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-18-000028 · edgardoc.xml · nonDerivative · entry 14 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,164 F12 · shares: Restricted Stock Unit award that will vest over three years, with one-third vesting on February 9, 2019; one-third vesting on February 9, 2020; and the remaining one-third vesting on February 9, 2021. Read SEC document |
| February 09, 2018 Filed Feb 9, 2018 21:39 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 18,497 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-18-000028 · edgardoc.xml · nonDerivative · entry 13 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,054 F12 · shares: Restricted Stock Unit award that will vest over three years, with one-third vesting on February 9, 2019; one-third vesting on February 9, 2020; and the remaining one-third vesting on February 9, 2021. Read SEC document |
| February 08, 2018 Filed Feb 9, 2018 21:39 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | SaleCommon Stock | 4,104 | $51.46 | $211,179.53 |
DisclosureSEC source: 0001015780-18-000028 · edgardoc.xml · nonDerivative · entry 12 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,557 F2 · shares: Sale of common stock pursuant to a Rule 10b5-1 plan entered into on February 25, 2017. F11 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $51.36 to $51.65, inclusive. The reporting person undertakes to provide to E*TRADE Financial Corporation, any security holder of E*TRADE Financial Corporation, 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 Form 4. Read SEC document |
| February 08, 2018 Filed Feb 9, 2018 21:39 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | SaleCommon Stock | 10,088 | $50.94 | $513,892.81 |
DisclosureSEC source: 0001015780-18-000028 · edgardoc.xml · nonDerivative · entry 11 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,661 F2 · shares: Sale of common stock pursuant to a Rule 10b5-1 plan entered into on February 25, 2017. F10 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $50.36 to $51.34, inclusive. The reporting person undertakes to provide to E*TRADE Financial Corporation, any security holder of E*TRADE Financial Corporation, 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 Form 4. Read SEC document |
| February 08, 2018 Filed Feb 9, 2018 21:39 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | SaleCommon Stock | 8,424 | $49.83 | $419,746.86 |
DisclosureSEC source: 0001015780-18-000028 · edgardoc.xml · nonDerivative · entry 10 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,749 F2 · shares: Sale of common stock pursuant to a Rule 10b5-1 plan entered into on February 25, 2017. F9 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $49.35 to $50.33, inclusive. The reporting person undertakes to provide to E*TRADE Financial Corporation, any security holder of E*TRADE Financial Corporation, 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 Form 4. Read SEC document |
| February 07, 2018 Filed Feb 9, 2018 21:39 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Exercise / conversionStock Option · Derivative | 11,727 | $0.00 Strike: $17.58 | $0.00 |
DisclosureSEC source: 0001015780-18-000028 · edgardoc.xml · derivative · entry 15 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,727 shares Expires 2018-02-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Acquisition of common stock upon the exercise of stock options pursuant to a Rule 10b5-1 plan entered into on February 25, 2017. F13 · derivative.exercise_date: The stock options vested in four annual installments beginning on February 10, 2012. Read SEC document |
| February 07, 2018 Filed Feb 9, 2018 21:39 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 3,408 | $52.03 | $177,318.24 |
DisclosureSEC source: 0001015780-18-000028 · edgardoc.xml · nonDerivative · entry 9 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,173 F6 · 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 07, 2018 Filed Feb 9, 2018 21:39 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 6,958 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-18-000028 · edgardoc.xml · nonDerivative · entry 8 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,581 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 3, 2017, which vested based upon the Company's achievement of earnings per share and return on equity targets relating to 2017. Read SEC document |
| February 07, 2018 Filed Feb 9, 2018 21:39 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 4,260 | $52.03 | $221,647.80 |
DisclosureSEC source: 0001015780-18-000028 · edgardoc.xml · nonDerivative · entry 7 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,623 F8 · 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 07, 2018 Filed Feb 9, 2018 21:39 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 8,699 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-18-000028 · edgardoc.xml · nonDerivative · entry 6 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,883 F7 · 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 2017. Read SEC document |
| February 07, 2018 Filed Feb 9, 2018 21:39 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 3,408 | $52.03 | $177,318.24 |
DisclosureSEC source: 0001015780-18-000028 · edgardoc.xml · nonDerivative · entry 5 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,184 F6 · 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 07, 2018 Filed Feb 9, 2018 21:39 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 6,958 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-18-000028 · edgardoc.xml · nonDerivative · entry 4 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,592 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 3, 2017, which vested based upon the Company's achievement of earnings per share and return on equity targets relating to 2017. Read SEC document |
| February 07, 2018 Filed Feb 9, 2018 21:39 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | SaleCommon Stock | 1,018 | $52.56 | $53,504.96 |
DisclosureSEC source: 0001015780-18-000028 · edgardoc.xml · nonDerivative · entry 3 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,634 F2 · shares: Sale of common stock pursuant to a Rule 10b5-1 plan entered into on February 25, 2017. F4 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $52.50 to $52.61, inclusive. The reporting person undertakes to provide to E*TRADE Financial Corporation, any security holder of E*TRADE Financial Corporation, 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 Form 4. Read SEC document |
| February 07, 2018 Filed Feb 9, 2018 21:39 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | SaleCommon Stock | 46,195 | $52.03 | $2,403,456.56 |
DisclosureSEC source: 0001015780-18-000028 · edgardoc.xml · nonDerivative · entry 2 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,652 F2 · shares: Sale of common stock pursuant to a Rule 10b5-1 plan entered into on February 25, 2017. F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $51.50 to $52.49, inclusive. The reporting person undertakes to provide to E*TRADE Financial Corporation, any security holder of E*TRADE Financial Corporation, 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 Form 4. Read SEC document |
| February 07, 2018 Filed Feb 9, 2018 21:39 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Exercise / conversionCommon Stock | 11,727 | $17.58 | $206,160.66 |
DisclosureSEC source: 0001015780-18-000028 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,847 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Acquisition of common stock upon the exercise of stock options pursuant to a Rule 10b5-1 plan entered into on February 25, 2017. Read SEC document |
| February 06, 2018 Filed Feb 6, 2018 19:57 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 3,777 | $50.46 | $190,587.42 |
DisclosureSEC source: 0001015780-18-000018 · edgardoc.xml · nonDerivative · entry 4 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,120 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 made on February 6, 2015. Read SEC document |
| February 06, 2018 Filed Feb 6, 2018 19:57 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 4,761 | $50.46 | $240,240.06 |
DisclosureSEC source: 0001015780-18-000018 · edgardoc.xml · nonDerivative · entry 3 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,897 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 made on February 6, 2015. Read SEC document |
| February 05, 2018 Filed Feb 6, 2018 19:57 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 5,845 | $51.58 | $301,485.10 |
DisclosureSEC source: 0001015780-18-000018 · edgardoc.xml · nonDerivative · entry 2 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,658 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 made on February 5, 2016. Read SEC document |
| February 03, 2018 Filed Feb 6, 2018 19:57 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 2,639 | $53.35 | $140,784.05 |
DisclosureSEC source: 0001015780-18-000018 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,503 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 |
| August 18, 2017 Filed Aug 22, 2017 17:04 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | SaleCommon Stock | 9,977 | $39.41 | $393,177.61 |
DisclosureSEC source: 0001015780-17-000086 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,142 F1 · shares: Sale of common stock pursuant to a Rule 10b5-1 plan entered into on August 14, 2015. Read SEC document |
| February 10, 2017 Filed Feb 14, 2017 17:22 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Exercise / conversionStock Option · Derivative | 11,249 | $0.00 Strike: $14.60 | $0.00 |
DisclosureSEC source: 0001015780-17-000026 · edgardoc.xml · derivative · entry 5 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,249 shares Expires 2017-02-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The stock options vested in three annual installments beginning on February 11, 2011. Read SEC document |
| February 10, 2017 Filed Feb 14, 2017 17:22 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | SaleCommon Stock | 32,274 | $35.60 | $1,149,096.41 |
DisclosureSEC source: 0001015780-17-000026 · edgardoc.xml · nonDerivative · entry 4 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,119 F2 · shares: Sale of common stock pursuant to a Rule 10b5-1 plan entered into on August 14, 2015. Read SEC document |
| February 10, 2017 Filed Feb 14, 2017 17:22 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | SaleCommon Stock | 11,249 | $35.60 | $400,511.65 |
DisclosureSEC source: 0001015780-17-000026 · edgardoc.xml · nonDerivative · entry 3 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,393 F3 · shares: Sale of common stock pursuant to a Rule 10b5-1 plan entered into on August 14, 2015, including shares sold to cover the costs and tax liabilities associated with the exercise of stock options. Read SEC document |
| February 10, 2017 Filed Feb 14, 2017 17:22 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | SaleCommon Stock | 3,387 | $35.60 | $120,583.64 |
DisclosureSEC source: 0001015780-17-000026 · edgardoc.xml · nonDerivative · entry 2 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,642 F2 · shares: Sale of common stock pursuant to a Rule 10b5-1 plan entered into on August 14, 2015. Read SEC document |
| February 10, 2017 Filed Feb 14, 2017 17:22 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Exercise / conversionCommon Stock | 11,249 | $14.60 | $164,235.40 |
DisclosureSEC source: 0001015780-17-000026 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,029 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Acquisition of common stock upon the exercise of stock options. Read SEC document |
| February 07, 2017 Filed Feb 9, 2017 17:05 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 3,312 | $35.20 | $116,582.40 |
DisclosureSEC source: 0001015780-17-000021 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,780 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 7, 2014. Read SEC document |
| February 06, 2017 Filed Feb 7, 2017 17:12 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 2,832 | $34.69 | $98,250.58 |
DisclosureSEC source: 0001015780-17-000013 · edgardoc.xml · nonDerivative · entry 9 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,092 F8 · shares: Shares reported were withheld for payment of taxes associated with the vesting of performance share units previously granted on February 6, 2015. Read SEC document |
| February 06, 2017 Filed Feb 7, 2017 17:12 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 5,934 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-17-000013 · edgardoc.xml · nonDerivative · entry 8 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,924 F7 · shares: Represents the number of shares of Common Stock received in settlement of performance share units previously granted to the reporting person on February 6, 2015, which vested based upon the Company's achievement of earnings per share targets and key business initiatives relating to 2016. Read SEC document |
| February 06, 2017 Filed Feb 7, 2017 17:12 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 3,679 | $34.69 | $127,635.55 |
DisclosureSEC source: 0001015780-17-000013 · edgardoc.xml · nonDerivative · entry 7 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,990 F6 · 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 6, 2015. Read SEC document |
| February 06, 2017 Filed Feb 7, 2017 17:12 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 4,042 | $34.69 | $140,229.11 |
DisclosureSEC source: 0001015780-17-000013 · edgardoc.xml · nonDerivative · entry 6 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,669 F6 · 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 6, 2015. Read SEC document |
| February 06, 2017 Filed Feb 7, 2017 17:12 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 3,033 | $34.69 | $105,223.87 |
DisclosureSEC source: 0001015780-17-000013 · edgardoc.xml · nonDerivative · entry 5 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,711 F5 · shares: Shares reported were withheld for payment of taxes associated with the vesting of approximately one-fourth of a grant of restricted stock originally made on February 6, 2013. Read SEC document |
| February 05, 2017 Filed Feb 7, 2017 17:12 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 2,722 | $34.97 | $95,188.34 |
DisclosureSEC source: 0001015780-17-000013 · edgardoc.xml · nonDerivative · entry 4 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,744 F4 · 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 05, 2017 Filed Feb 7, 2017 17:12 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 5,705 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-17-000013 · edgardoc.xml · nonDerivative · entry 3 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,466 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 5, 2016, which vested based upon the Company's achievement of earnings per share targets and key business initiatives relating to 2016. Read SEC document |
| February 05, 2017 Filed Feb 7, 2017 17:12 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 5,187 | $34.97 | $181,389.39 |
DisclosureSEC source: 0001015780-17-000013 · edgardoc.xml · nonDerivative · entry 2 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,761 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 made on February 5, 2016. Read SEC document |
| February 03, 2017 Filed Feb 7, 2017 17:12 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 22,876 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-17-000013 · edgardoc.xml · nonDerivative · entry 1 Pizzi Michael A. · CIK 0001644151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,948 F1 · shares: Restricted Stock Unit award that will vest over three years, with one-third vesting on February 3, 2018; one-third vesting on February 3, 2019; and the remaining one-third vesting on February 3, 2020. 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.