Current Report Filing (8-k)
December 09 2015 - 8:01AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant
to Section 13 or 15(d) of
the Securities Exchange Act of 1934
Date of
report: December 9, 2015
(Date
of earliest event reported)
E*TRADE
Financial Corporation
(Exact
name of Registrant as Specified in its Charter)
Delaware
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1-11921
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94-2844166
|
(State or other jurisdiction of incorporation or
organization)
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(Commission File Number)
|
(I.R.S. Employer Identification Number)
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1271 Avenue of the Americas, 14th Floor, New York, New York
10020
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(Address
of Principal Executive Offices and Zip Code)
|
(646) 521-4300
(Registrant’s Telephone Number, including
Area Code)
Check the
appropriate box below if the Form 8-K filing is intended to
simultaneously satisfy the filing obligation of the registrant under any
of the following provisions:
⃞
Written
communications pursuant to Rule 425 under the Securities Act (17 CFR
230.425)
⃞
Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12)
⃞
Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR
240.14d-2(b))
⃞
Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR
240.13e-4(c))
Item 7.01 REGULATION FD DISCLOSURE
E*TRADE Financial Corporation (the “Company”) is presenting at the
Goldman Sachs U.S. Financial Services Conference today. During the
presentation, the Company will discuss that beginning Q1 2016, it will
operate its bank at a Tier 1 leverage ratio of 8.0%. While the Company
has received regulatory approval to operate its bank at the lower
capital level, any distributions of capital from the bank will continue
to be subject to regulatory approval.
The Company will also announce that as of December 4, 2015, it has
repurchased 1,260,000 shares of common stock at an average price of
$30.36, excluding commission costs, pursuant to its previously announced
share repurchase program.
The Company will also discuss its Daily Average Revenue Trades (DARTs)
for the month of November. For November 2015, the Company reports DARTs
of 148,777, a three percent increase from October. The Company intends
to issue its standard monthly activity report for November on or about
December 14, 2015. A copy of the Company’s updated presentation is
available on the Company’s corporate website, about.etrade.com.
Investors should note that the Company announces material financial
information in SEC filings, press releases, and public conference calls.
Based on guidance from the SEC, the Company may also use the Investor
Relations section of its corporate website, about.etrade.com, to
communicate with investors about the Company. It is possible that the
financial and other information posted there could be deemed to be
material information. The information on the Company’s corporate website
is not part of this filing.
The information appearing in this Item 7.01 shall not be deemed “filed”
for purposes of Section 18 of the Securities Exchange act of 1934, or
otherwise subject to the liabilities of that section.
SIGNATURES
Pursuant to
the requirements of the Securities Exchange Act of 1934, the registrant
has duly caused this report to be signed on its behalf by the
undersigned hereunto duly authorized.
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E*TRADE FINANCIAL CORPORATION
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Date:
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December 9, 2015
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By:
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/s/ Karl A. Roessner
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Name:
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Karl A. Roessner
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Title:
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Corporate Secretary
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