Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LPL Financial Holdings Inc.LPLA · Entity 3160 | Principal Accounting Officer | February 25, 2023 | February 28, 2023 |
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.
LPL Financial Holdings Inc.
Report date February 25, 2023 · Filed February 28, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 5,687 |
Reported balance
After 2023-02-25 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-02-25 · Tax withholding · Disposed 355 · Balance 5,687 |
| Common StockSEC Table I · non-derivative | Direct | 6,773 |
Reported balance
After 2023-02-25 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2023-02-25 · Grant · Acquired 1,086 · Balance 6,773 F1: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2024, February 25, 2025, and February 25, 2026. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. F2: Consists of (i) 4,065 shares of Common Stock; (ii) 676 restricted stock units that vest in full on February 25, 2024; (iii) 946 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) the restricted stock units reported on this Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2024, February 25, 2025, and February 25, 2026. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.
F2: Consists of (i) 4,065 shares of Common Stock; (ii) 676 restricted stock units that vest in full on February 25, 2024; (iii) 946 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) the restricted stock units reported on this Form 4.
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 8,143 · Balance 55,390 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 55,390 · 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 25, 2023 Filed Feb 28, 2023 23:57 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1,086 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-23-000044 · wf-form4_167762864847173.xml · nonDerivative · entry 2 Simonich Brent · CIK 0001644152 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,773 F1 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2024, February 25, 2025, and February 25, 2026. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. F2 · balance_after: Consists of (i) 4,065 shares of Common Stock; (ii) 676 restricted stock units that vest in full on February 25, 2024; (iii) 946 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2023 Filed Feb 28, 2023 23:57 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 355 | $247.30 | $87,791.50 |
DisclosureSEC source: 0001397911-23-000044 · wf-form4_167762864847173.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,687 Read SEC document |
| November 18, 2022 Filed Nov 21, 2022 22:21 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | PurchaseCommon Stock | 920 | $219.15 | $201,618.00 |
DisclosureSEC source: 0001397911-22-000164 · wf-form4_166906926729863.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · EVP, CAO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,042 F1 · balance_after: Consists of (i) 3,271 shares of Common Stock; (ii) 1,352 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (iii) 1,419 restricted stock units that vest ratably on each of February 25, 2023, February 25, 2024 and February 25, 2025. Read SEC document |
| February 25, 2022 Filed Mar 1, 2022 23:25 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1,419 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-22-000036 · wf-form4_164617712950507.xml · nonDerivative · entry 2 Simonich Brent · CIK 0001644152 · EVP, CAO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,122 F1 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2023, February 25, 2024, and February 25, 2025. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. F2 · balance_after: Consists of (i) 2,351 shares of Common Stock; (ii) 1,352 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (iii) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2022 Filed Mar 1, 2022 23:25 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 233 | $182.73 | $42,576.09 |
DisclosureSEC source: 0001397911-22-000036 · wf-form4_164617712950507.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · EVP, CAO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,703 Read SEC document |
| February 25, 2021 Filed Mar 2, 2021 01:11 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,027 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000065 · wf-form4_161464742910863.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · EVP, CAO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,936 F1 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2022, February 25, 2023, and February 25, 2024. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. F2 · balance_after: Consists of (i) 1,909 shares of Common Stock and (ii) the restricted stock units reported on this Form 4. Read SEC document |
| February 16, 2021 Filed Feb 17, 2021 23:34 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | PurchaseCommon Stock | 1,909 | $131.00 | $250,079.00 |
DisclosureSEC source: 0001397911-21-000024 · wf-form4_161360481971490.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · EVP, CAO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,909 Read SEC document |
| October 02, 2020 Filed Oct 5, 2020 17:23 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Disposition to issuerCommon Stock | 55,390 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950103-20-019658 · dp138323_4-simonich.xml · nonDerivative · entry 2 Simonich Brent · CIK 0001644152 · EVP, Chief Risk 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 17:23 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 8,143 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-20-019658 · dp138323_4-simonich.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · EVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,390 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 |
| August 25, 2020 Filed Aug 27, 2020 17:42 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 67 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-20-000197 · edgardoc.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · EVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,247 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 |
| May 19, 2020 Filed May 21, 2020 17:42 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 91 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-20-000157 · edgardoc.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · EVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,180 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 17:05 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 79 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-20-000096 · edgardoc.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · EVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,089 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 | 785 | $43.37 | $34,045.45 |
DisclosureSEC source: 0001015780-20-000055 · edgardoc.xml · nonDerivative · entry 3 Simonich Brent · CIK 0001644152 · EVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,010 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 | 990 | $43.37 | $42,936.30 |
DisclosureSEC source: 0001015780-20-000055 · edgardoc.xml · nonDerivative · entry 2 Simonich Brent · CIK 0001644152 · EVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,795 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 | 17,293 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-20-000055 · edgardoc.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · EVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,785 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 03, 2020 Filed Feb 5, 2020 17:38 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 430 | $42.88 | $18,436.25 |
DisclosureSEC source: 0001015780-20-000027 · edgardoc.xml · nonDerivative · entry 2 Simonich Brent · CIK 0001644152 · EVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,492 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 |
| February 03, 2020 Filed Feb 5, 2020 17:38 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 977 | $42.88 | $41,888.88 |
DisclosureSEC source: 0001015780-20-000027 · edgardoc.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · EVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,922 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 | 62 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-19-000235 · edgardoc.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · SVP, Corporate Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,899 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 |
| August 26, 2019 Filed Aug 28, 2019 17:10 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 66 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-19-000181 · edgardoc.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · SVP, Corporate Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,837 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 |
| May 20, 2019 Filed May 22, 2019 17:26 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 55 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-19-000143 · edgardoc.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,771 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 | 26 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-19-000078 · edgardoc.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,716 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 | 775 | $46.06 | $35,694.56 |
DisclosureSEC source: 0001015780-19-000054 · edgardoc.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,690 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 21:39 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 9,770 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-19-000041 · edgardoc.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,465 F1 · 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 05, 2019 Filed Feb 5, 2019 21:54 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 1,308 | $47.20 | $61,731.06 |
DisclosureSEC source: 0001015780-19-000029 · edgardoc.xml · nonDerivative · entry 3 Simonich Brent · CIK 0001644152 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,695 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 21:54 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 952 | $47.30 | $45,029.60 |
DisclosureSEC source: 0001015780-19-000029 · edgardoc.xml · nonDerivative · entry 2 Simonich Brent · CIK 0001644152 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,003 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 |
| February 03, 2019 Filed Feb 5, 2019 21:54 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 428 | $47.30 | $20,244.40 |
DisclosureSEC source: 0001015780-19-000029 · edgardoc.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,955 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 | 53 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-18-000130 · edgardoc.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,383 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 | 1,943 | $51.50 | $100,071.88 |
DisclosureSEC source: 0001015780-18-000109 · edgardoc.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,330 Read SEC document |
| June 01, 2018 Filed Jun 5, 2018 17:11 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 1,853 | $64.20 | $118,962.60 |
DisclosureSEC source: 0001015780-18-000069 · edgardoc.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,387 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 June 1, 2015. Read SEC document |
| March 06, 2018 Filed Mar 8, 2018 17:04 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | SaleCommon Stock | 7,680 | $53.00 | $407,040.00 |
DisclosureSEC source: 0001015780-18-000035 · edgardoc.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,240 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $53.00 to $53.25, 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 09, 2018 Filed Feb 9, 2018 21:39 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 7,707 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-18-000030 · edgardoc.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,920 F1 · 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 06, 2018 Filed Feb 6, 2018 19:58 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 742 | $50.46 | $37,441.32 |
DisclosureSEC source: 0001015780-18-000020 · edgardoc.xml · nonDerivative · entry 4 Simonich Brent · CIK 0001644152 · SVP, Corporate Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,213 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 19:58 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 1,305 | $51.58 | $67,311.90 |
DisclosureSEC source: 0001015780-18-000020 · edgardoc.xml · nonDerivative · entry 3 Simonich Brent · CIK 0001644152 · SVP, Corporate Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,955 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 19:58 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 431 | $53.35 | $22,992.77 |
DisclosureSEC source: 0001015780-18-000020 · edgardoc.xml · nonDerivative · entry 2 Simonich Brent · CIK 0001644152 · SVP, Corporate Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,260 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 |
| February 03, 2018 Filed Feb 6, 2018 19:58 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 932 | $53.35 | $49,719.87 |
DisclosureSEC source: 0001015780-18-000020 · edgardoc.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · SVP, Corporate Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,691 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 |
| July 26, 2017 Filed Jul 28, 2017 17:00 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | SaleCommon Stock | 1,934 | $41.50 | $80,258.29 |
DisclosureSEC source: 0001015780-17-000072 · edgardoc.xml · nonDerivative · entry 2 Simonich Brent · CIK 0001644152 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,623 Read SEC document |
| July 26, 2017 Filed Jul 28, 2017 17:00 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | SaleCommon Stock | 3,762 | $41.50 | $156,117.73 |
DisclosureSEC source: 0001015780-17-000072 · edgardoc.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,557 Read SEC document |
| June 01, 2017 Filed Jun 5, 2017 18:24 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 1,862 | $34.85 | $64,884.18 |
DisclosureSEC source: 0001015780-17-000062 · edgardoc.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,319 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 June 1, 2015. Read SEC document |
| February 10, 2017 Filed Feb 14, 2017 17:32 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | SaleCommon Stock | 6,968 | $35.60 | $248,060.80 |
DisclosureSEC source: 0001015780-17-000027 · edgardoc.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,181 Read SEC document |
| February 07, 2017 Filed Feb 9, 2017 17:06 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 958 | $35.20 | $33,721.60 |
DisclosureSEC source: 0001015780-17-000023 · edgardoc.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,149 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 17:15 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 815 | $34.69 | $28,274.80 |
DisclosureSEC source: 0001015780-17-000015 · edgardoc.xml · nonDerivative · entry 5 Simonich Brent · CIK 0001644152 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,107 F4 · 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 17:15 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 1,251 | $34.69 | $43,400.94 |
DisclosureSEC source: 0001015780-17-000015 · edgardoc.xml · nonDerivative · entry 4 Simonich Brent · CIK 0001644152 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,922 F3 · 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 17:15 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | Tax withholdingCommon Stock | 1,541 | $34.97 | $53,888.77 |
DisclosureSEC source: 0001015780-17-000015 · edgardoc.xml · nonDerivative · entry 3 Simonich Brent · CIK 0001644152 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,173 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 17:15 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 4,289 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-17-000015 · edgardoc.xml · nonDerivative · entry 2 Simonich Brent · CIK 0001644152 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,714 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 |
| February 03, 2017 Filed Feb 7, 2017 17:15 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | GrantCommon Stock | 8,578 | $0.00 | $0.00 |
DisclosureSEC source: 0001015780-17-000015 · edgardoc.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,425 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 |
| November 14, 2016 Filed Nov 16, 2016 17:10 UTC | E TRADE FINANCIAL CORP ETFC · Entity 146174 | SaleCommon Stock | 7,996 | $32.68 | $261,290.09 |
DisclosureSEC source: 0001015780-16-000183 · edgardoc.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,847 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.