E Trade Financial Corp Sample Contracts

E Trade Financial Corp – E*TRADE Financial Corporation Announces Second Quarter 2019 Results (July 18th, 2019)

Net income of $219 million Diluted earnings per common share of $0.90, which includes net losses of $53 million, or $0.22 per diluted share, related to losses from balance sheet repositioning, partially offset by the benefit to provision for loan losses(1) Total net revenue of $685 million Operating margin of 43 percent; adjusted operating margin of 42 percent(2) Return on common equity of 15 percent; adjusted return on common equity of 14 percent(3) Average interest-earning assets of $61.4 billion; net interest margin of 320 basis points Daily Average Revenue Trades (DARTs) of 268,000, including derivative DARTs of 89,000 Margin receivables of $9.9 billion; average margin receivables of $10.1 billion Net new accounts of 70,000 Net new retail and advisor services assets of $1.6 billion Capital return to shareholders(4) of $256 million, including share repurchases of $222 million and dividends of $34 million

E Trade Financial Corp – Amendment No. 1 to Employment Agreement (May 2nd, 2019)

This Amendment No. 1 (this “Amendment”) to that certain Employment Agreement by and between E*TRADE Financial Corporation (the “Company”) and Michael J. Curcio (“Executive”), dated as of February 14, 2017 (the “Employment Agreement”) is made and entered into by and between the Company and Executive, effective as of March 7, 2019. Any capitalized term that is used but not otherwise defined in this Amendment shall have the meaning set forth in the Employment Agreement.

E Trade Financial Corp – E*TRADE Financial Corporation Announces First Quarter 2019 Results (April 17th, 2019)

E*TRADE Financial Corporation (NASDAQ:ETFC) today announced results for its first quarter ended March 31, 2019, reporting net income of $290 million, diluted earnings per common share of $1.09 and total net revenue of $755 million. Operating margin for the quarter was 52 percent and adjusted operating margin was 50 percent(3).

E Trade Financial Corp – 2019 Addendum to Employment Agreement (February 21st, 2019)

This 2019 Addendum to Employment Agreement (this “Addendum”) is made and entered into by and between E*TRADE Financial Corporation (the “Company”) and Karl A. Roessner (“Executive”), effective as of February 8, 2019.

E Trade Financial Corp – EMPLOYMENT AGREEMENT (February 21st, 2019)

This Employment Agreement (this “Agreement”) is made and entered into by and between E*TRADE Financial Corporation (the “Company”) and [ ] (“Executive”) as of [ , 20[ ]] (the “Effective Date”).

E Trade Financial Corp – Other Terms: RSUs to be governed by current form of agreement applicable to SVPs (February 21st, 2019)
E Trade Financial Corp – E*TRADE FINANCIAL CORPORATION RESTRICTED STOCK UNITS AGREEMENT (February 21st, 2019)

E*TRADE Financial Corporation has granted to the Participant named in the Notice of Grant of Restricted Stock Units (the “Grant Notice”) to which this Restricted Stock Units Agreement (the “Agreement”) is attached an Award consisting of Restricted Stock Units subject to the terms and conditions set forth in the Grant Notice and this Agreement. The Award has been granted pursuant to the E*TRADE Financial Corporation 2015 Omnibus Incentive Plan (as amended from time to time, the “Plan”), the provisions of which are incorporated herein by reference. By signing the Grant Notice, the Participant: (a) acknowledges receipt of and represents that the Participant has read and is familiar with the Grant Notice, this Agreement, the Plan and a prospectus for the Plan (the “Plan Prospectus”), (b) accepts the Award subject to all of the terms and conditions of the Grant Notice, this Agreement and the Plan and (c) agrees to accept as binding, conclusive and final all decisions or interpretations of t

E Trade Financial Corp – Change in Control Provisions (February 21st, 2019)
E Trade Financial Corp – E*TRADE FINANCIAL CORPORATION RESTRICTED STOCK UNITS AGREEMENT (February 21st, 2019)

E*TRADE Financial Corporation has granted to the Participant named in the Notice of Grant of Restricted Stock Units (the “Grant Notice”) to which this Restricted Stock Units Agreement (the “Agreement”) is attached an Award consisting of Restricted Stock Units subject to the terms and conditions set forth in the Grant Notice and this Agreement. The Award has been granted pursuant to the E*TRADE Financial Corporation 2015 Omnibus Incentive Plan (as amended from time to time, the “Plan”), the provisions of which are incorporated herein by reference. By signing the Grant Notice, the Participant: (a) acknowledges receipt of and represents that the Participant has read and is familiar with the Grant Notice, this Agreement, the Plan and a prospectus for the Plan (the “Plan Prospectus”), (b) accepts the Award subject to all of the terms and conditions of the Grant Notice, this Agreement and the Plan and (c) agrees to accept as binding, conclusive and final all decisions or interpretations of t

E Trade Financial Corp – E*TRADE FINANCIAL CORPORATION NOTICE OF GRANT OF PERFORMANCE UNITS (February 21st, 2019)

<<FIRST_NAME>> <<LAST_NAME>> (the “Participant”) has been granted an award of Performance Units (the “Award”) pursuant to the E*TRADE Financial Corporation 2015 Omnibus Incentive Plan (as amended from time to time, the “Plan”), each of which represents the right to receive one (1) share of Stock of E*TRADE Financial Corporation (the “Company”) in accordance with the terms and conditions of this Notice and the Performance Units Agreement that is attached to this Notice (the “Performance Units Agreement”). Any capitalized term that is used but not defined in this Notice shall have the meaning set forth in the Performance Units Agreement.

E Trade Financial Corp – E*TRADE FINANCIAL CORPORATION NOTICE OF GRANT OF PERFORMANCE UNITS (February 21st, 2019)

<<FIRST_NAME>> <<LAST_NAME>> (the “Participant”) has been granted an award of Performance Units (the “Award”) pursuant to the E*TRADE Financial Corporation 2015 Omnibus Incentive Plan (as amended from time to time, the “Plan”), each of which represents the right to receive one (1) share of Stock of E*TRADE Financial Corporation (the “Company”) in accordance with the terms and conditions of this Notice and the Performance Units Agreement that is attached to this Notice (the “Performance Units Agreement”). Any capitalized term that is used but not defined in this Notice shall have the meaning set forth in the Performance Units Agreement.

E Trade Financial Corp – 2019 Addendum to Employment Agreement (February 20th, 2019)

This 2019 Addendum to Employment Agreement (this “Addendum”) is made and entered into by and between E*TRADE Financial Corporation (the “Company”) and Karl A. Roessner (“Executive”), effective as of February 8, 2019.

E Trade Financial Corp – EMPLOYMENT AGREEMENT (February 20th, 2019)

This Employment Agreement (this “Agreement”) is made and entered into by and between E*TRADE Financial Corporation (the “Company”) and [ ] (“Executive”) as of [ , 20[ ]] (the “Effective Date”).

E Trade Financial Corp – E*TRADE FINANCIAL CORPORATION RESTRICTED STOCK UNITS AGREEMENT (February 20th, 2019)

E*TRADE Financial Corporation has granted to the Participant named in the Notice of Grant of Restricted Stock Units (the “Grant Notice”) to which this Restricted Stock Units Agreement (the “Agreement”) is attached an Award consisting of Restricted Stock Units subject to the terms and conditions set forth in the Grant Notice and this Agreement. The Award has been granted pursuant to the E*TRADE Financial Corporation 2015 Omnibus Incentive Plan (as amended from time to time, the “Plan”), the provisions of which are incorporated herein by reference. By signing the Grant Notice, the Participant: (a) acknowledges receipt of and represents that the Participant has read and is familiar with the Grant Notice, this Agreement, the Plan and a prospectus for the Plan (the “Plan Prospectus”), (b) accepts the Award subject to all of the terms and conditions of the Grant Notice, this Agreement and the Plan and (c) agrees to accept as binding, conclusive and final all decisions or interpretations of t

E Trade Financial Corp – Other Terms: RSUs to be governed by current form of agreement applicable to SVPs (February 20th, 2019)
E Trade Financial Corp – E*TRADE FINANCIAL CORPORATION NOTICE OF GRANT OF PERFORMANCE UNITS (February 20th, 2019)

<<FIRST_NAME>> <<LAST_NAME>> (the “Participant”) has been granted an award of Performance Units (the “Award”) pursuant to the E*TRADE Financial Corporation 2015 Omnibus Incentive Plan (as amended from time to time, the “Plan”), each of which represents the right to receive one (1) share of Stock of E*TRADE Financial Corporation (the “Company”) in accordance with the terms and conditions of this Notice and the Performance Units Agreement that is attached to this Notice (the “Performance Units Agreement”). Any capitalized term that is used but not defined in this Notice shall have the meaning set forth in the Performance Units Agreement.

E Trade Financial Corp – E*TRADE FINANCIAL CORPORATION NOTICE OF GRANT OF PERFORMANCE UNITS (February 20th, 2019)

<<FIRST_NAME>> <<LAST_NAME>> (the “Participant”) has been granted an award of Performance Units (the “Award”) pursuant to the E*TRADE Financial Corporation 2015 Omnibus Incentive Plan (as amended from time to time, the “Plan”), each of which represents the right to receive one (1) share of Stock of E*TRADE Financial Corporation (the “Company”) in accordance with the terms and conditions of this Notice and the Performance Units Agreement that is attached to this Notice (the “Performance Units Agreement”). Any capitalized term that is used but not defined in this Notice shall have the meaning set forth in the Performance Units Agreement.

E Trade Financial Corp – Change in Control Provisions (February 20th, 2019)
E Trade Financial Corp – E*TRADE FINANCIAL CORPORATION RESTRICTED STOCK UNITS AGREEMENT (February 20th, 2019)

E*TRADE Financial Corporation has granted to the Participant named in the Notice of Grant of Restricted Stock Units (the “Grant Notice”) to which this Restricted Stock Units Agreement (the “Agreement”) is attached an Award consisting of Restricted Stock Units subject to the terms and conditions set forth in the Grant Notice and this Agreement. The Award has been granted pursuant to the E*TRADE Financial Corporation 2015 Omnibus Incentive Plan (as amended from time to time, the “Plan”), the provisions of which are incorporated herein by reference. By signing the Grant Notice, the Participant: (a) acknowledges receipt of and represents that the Participant has read and is familiar with the Grant Notice, this Agreement, the Plan and a prospectus for the Plan (the “Plan Prospectus”), (b) accepts the Award subject to all of the terms and conditions of the Grant Notice, this Agreement and the Plan and (c) agrees to accept as binding, conclusive and final all decisions or interpretations of t

E Trade Financial Corp – E*TRADE Financial Corporation Announces Fourth Quarter and Full Year 2018 Results (January 24th, 2019)

Net income of $270 million or $1.06 per diluted share, which includes a net benefit of $9 million, or $0.03 per diluted share, related to the benefit to provision for loan losses Total net revenue of $735 million, a Company record(1) Operating margin of 50 percent; adjusted operating margin of 48 percent(2) Return on common equity of 19 percent; adjusted return on common equity of 18 percent(3) Average interest-earning assets of $60.1 billion; net interest margin of 320 basis points Daily Average Revenue Trades (DARTs) of 296,000, including derivative DARTs of 93,000 Margin receivables of $9.6 billion; average margin receivables of $11.1 billion Net new brokerage accounts of 947,000(4); excluding the acquisition of Capital One brokerage accounts, net new brokerage accounts of 35,000 Net new brokerage assets of $19.1 billion(4); excluding the acquisition of Capital One brokerage accounts, net new brokerage assets of $4.0 billion Total customer assets of $414.1 billion Utilized $501 mill

E Trade Financial Corp – E*TRADE FINANCIAL CORPORATION RESTRICTED STOCK UNITS AGREEMENT (November 1st, 2018)

E*TRADE Financial Corporation has granted to the Participant named in the Notice of Grant of Restricted Stock Units (the “Grant Notice”) to which this Restricted Stock Units Agreement (the “Agreement”) is attached an Award consisting of Restricted Stock Units subject to the terms and conditions set forth in the Grant Notice and this Agreement. The Award has been granted pursuant to the E*TRADE Financial Corporation 2015 Omnibus Incentive Plan (as amended from time to time, the “Plan”), the provisions of which are incorporated herein by reference. By signing the Grant Notice, the Participant: (a) acknowledges receipt of and represents that the Participant has read and is familiar with the Grant Notice, this Agreement, the Plan and a prospectus for the Plan (the “Plan Prospectus”), (b) accepts the Award subject to all of the terms and conditions of the Grant Notice, this Agreement and the Plan and (c) agrees to accept as binding, conclusive and final all decisions or interpretations of t

E Trade Financial Corp – E*TRADE FINANCIAL CORPORATION RESTRICTED STOCK UNITS AGREEMENT (November 1st, 2018)

E*TRADE Financial Corporation has granted to the Participant named in the Notice of Grant of Restricted Stock Units (the “Grant Notice”) to which this Restricted Stock Units Agreement (the “Agreement”) is attached an Award consisting of Restricted Stock Units subject to the terms and conditions set forth in the Grant Notice and this Agreement. The Award has been granted pursuant to the E*TRADE Financial Corporation 2015 Omnibus Incentive Plan (as amended from time to time, the “Plan”), the provisions of which are incorporated herein by reference. By signing the Grant Notice, the Participant: (a) acknowledges receipt of and represents that the Participant has read and is familiar with the Grant Notice, this Agreement, the Plan and a prospectus for the Plan (the “Plan Prospectus”), (b) accepts the Award subject to all of the terms and conditions of the Grant Notice, this Agreement and the Plan and (c) agrees to accept as binding, conclusive and final all decisions or interpretations of t

E Trade Financial Corp – FORM EMPLOYMENT AGREEMENT (November 1st, 2018)

This Employment Agreement (this “Agreement”) is made and entered into by and between E*TRADE Financial Corporation (the “Company”) and [ ] (“Executive”) as of [ , 20[ ]], (the “Effective Date”).

E Trade Financial Corp – COMPANY TO INITIATE QUARTERLY DIVIDEND ON COMMON STOCK ANNOUNCES NEW $1 BILLION SHARE REPURCHASE PROGRAM (October 18th, 2018)

E*TRADE Financial Corporation (NASDAQ:ETFC) today announced results for its third quarter ended September 30, 2018, reporting net income of $285 million, diluted earnings per common share of $1.00 and total net revenue of $720 million. Operating margin for the quarter was 52 percent and adjusted operating margin was 48 percent(3).

E Trade Financial Corp – E*TRADE Financial Corporation Announces Second Quarter 2018 Results (July 19th, 2018)

E*TRADE Financial Corporation (NASDAQ: ETFC) today announced results for its second quarter ended June 30, 2018, reporting net income of $250 million, or diluted earnings per common share of $0.95 and total net revenue of $710 million. Operating margin for the quarter was 49 percent and adjusted operating margin was 46 percent(1).

E Trade Financial Corp – E*TRADE Financial Corporation and The Bank of New York Mellon Trust Company, N.A. 4.500% Senior Notes due 2028 Third Supplemental Indenture Dated as of June 20, 2018 to Indenture dated as of August 24, 2017 (June 20th, 2018)

THIRD SUPPLEMENTAL INDENTURE, dated as of June 20, 2018 (this “Supplemental Indenture”), to the Indenture dated as of August 24, 2017 (as amended, modified or supplemented from time to time in accordance therewith, other than with respect to a particular series of debt securities, the “Base Indenture” and, as amended, modified and supplemented by this Supplemental Indenture, the “Indenture”), by and between E*TRADE Financial Corporation (the “Company”), and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Trustee”).

E Trade Financial Corp – E*TRADE FINANCIAL CORPORATION 4.500% Senior Notes due 2028 UNDERWRITING AGREEMENT (June 20th, 2018)
E Trade Financial Corp – E*TRADE Financial Corporation Announces First Quarter 2018 Results (April 19th, 2018)

E*TRADE Financial Corporation (NASDAQ: ETFC) today announced results for its first quarter ended March 31, 2018, reporting net income of $247 million, or diluted earnings per common share of $0.88 and total net revenue of $708 million. Operating margin for the quarter was 47 percent and adjusted operating margin was 44 percent(1).

E Trade Financial Corp – E*TRADE Financial Corporation as Issuer and The Bank of New York Mellon Trust Company, N.A. as Trustee Indenture Dated as of (February 21st, 2018)

INDENTURE, dated as of , between E*TRADE Financial Corporation, a Delaware corporation, as the Company and The Bank of New York Mellon Trust Company, N.A., a national banking association, as Trustee (each as more fully set forth in Section 1.01).

E Trade Financial Corp – 2018 Addendum to Employment Agreement (February 21st, 2018)

This 2018 Addendum to Employment Agreement (this “Addendum”) is made and entered into by and between E*TRADE Financial Corporation (the “Company”) and Karl A. Roessner (“Executive”), effective as of February 9, 2018.

E Trade Financial Corp – E*TRADE Financial Corporation Announces Fourth Quarter and Full Year 2017 Results E*TRADE Bank reduces Tier 1 leverage ratio threshold to 7.0% Announces Acquisition of More Than One Million Retail Brokerage Accounts with $18 Billion in Assets (January 25th, 2018)

Net income of $129 million, or $0.48 per diluted share, which includes net expenses of $44 million, or $0.16, related to tax reform and other items(1) Total net revenue of $637 million Operating margin of 47 percent; adjusted operating margin of 43 percent(2) Consolidated balance sheet assets of $63.4 billion; average interest-earning assets of $57.4 billion; net interest margin of 292 basis points Daily Average Revenue Trades (DARTs) of 236,000, a Company record(3); 29 percent in derivatives Customer margin balances of $9.1 billion, a Company record(3) Net new brokerage accounts of 46,000 Net new brokerage assets of $3.2 billion; end of period total customer assets of $383.3 billion Managed products of $5.4 billion Utilized $175 million to repurchase 3.9 million shares at an average price of $44.97

E Trade Financial Corp – E*TRADE FINANCIAL CORPORATION 300,000 Depositary Shares, each representing a 1/100th interest in a share of Preferred Stock ($0.01 par value per share, liquidation preference $100,000 per share) UNDERWRITING AGREEMENT (December 6th, 2017)
E Trade Financial Corp – CERTIFICATE OF DESIGNATIONS OF PREFERENCES AND RIGHTS OF THE FIXED-TO-FLOATING RATE NON-CUMULATIVE PERPETUAL PREFERRED STOCK, SERIES B (Liquidation Preference $100,000 per share) OF E*TRADE FINANCIAL CORPORATION Pursuant to Section 151 of the General Corporation Law of the State of Delaware (December 6th, 2017)

E*TRADE Financial Corporation, a Delaware corporation (hereinafter called the “Corporation”), DOES HEREBY CERTIFY that, pursuant to resolutions of the Preferred Stock Financing Committee (the “Committee”) of the Board of Directors of the Corporation adopted on November 27, 2017, the creation of Fixed-to-Floating Rate Non-Cumulative Perpetual Preferred Stock, Series B, par value $0.01 per share, liquidation preference $100,000 per share (“Series B Preferred Stock”), of the Corporation was authorized and the designation, preferences, privileges, voting rights, and other special rights and qualifications, limitations and restrictions of the Series B Preferred Stock, in addition to those set forth in the Certificate of Incorporation and Bylaws of the Corporation, are fixed as follows:

E Trade Financial Corp – E*TRADE FINANCIAL CORPORATION, THE BANK OF NEW YORK MELLON AND THE HOLDERS FROM TIME TO TIME OF THE DEPOSITARY RECEIPTS DESCRIBED HEREIN DEPOSIT AGREEMENT Dated as of December 6, 2017 (December 6th, 2017)

DEPOSIT AGREEMENT dated as of December 6, 2017, among E*TRADE FINANCIAL CORPORATION, a Delaware corporation, THE BANK OF NEW YORK MELLON, a New York banking corporation, and the holders from time to time of the Receipts described herein.

E Trade Financial Corp – INDEMNIFICATION AGREEMENT (November 2nd, 2017)

THIS INDEMNIFICATION AGREEMENT (this “Agreement”), dated as of ________________ between E*TRADE Financial Corporation, Inc., a Delaware corporation (the “Company”), and ________________ (“Indemnitee”). This Agreement supersedes and replaces all previous agreements between the Company and the Indemnitee covering the subject matter of this Agreement.