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EX-99.5 - EXHIBIT 99.5 - E TRADE FINANCIAL CORPa51341770ex99_5.htm
EX-99.2 - EXHIBIT 99.2 - E TRADE FINANCIAL CORPa51341770ex99_2.htm
EX-99.4 - EXHIBIT 99.4 - E TRADE FINANCIAL CORPa51341770ex99_4.htm
EX-99.3 - EXHIBIT 99.3 - E TRADE FINANCIAL CORPa51341770ex99_3.htm
EX-99.1 - EXHIBIT 99.1 - E TRADE FINANCIAL CORPa51341770ex99_1.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
________________


FORM 8-K

CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(D) OF THE
SECURITIES AND EXCHANGE ACT OF 1934


Date of report: May 12, 2016
(Date of earliest event reported)


E*TRADE FINANCIAL CORPORATION
(Exact name of registrant as specified in charter)


Delaware
1-11921
94-2844166
(State or other jurisdiction of
incorporation)
(Commission File Number)
(I.R.S. Employer Identification
No.)

1271 Avenue of the Americas, 14th Floor, New York, New York 10020
 (Address of principal executive offices and zip code)

Registrant’s telephone number, including area code: (646) 521-4300


______________________________
 
 
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 5.07.                          Submission of Matters to a Vote of Security Holders

At the Company’s Annual Meeting of Stockholders held on May 12, 2016, stockholders considered three proposals, each of which is described in more detail in the Company’s definitive proxy statement filed on March 30, 2016 for the Annual Meeting of Stockholders.

The vote results detailed below represent the final results as certified by the Inspector of Elections:

Proposal 1

Election of eleven directors for a term that will end at the Company’s 2017 Annual Meeting of Stockholders.

Director
 
For
   
Against
   
Abstain
   
Broker
Non-Vote
 
Richard J. Carbone
   
237,126,467
     
277,725
     
70,093
     
16,018,525
 
James P. Healy
   
237,104,369
     
299,956
     
69,960
     
16,018,525
 
Paul T. Idzik
   
237,097,123
     
308,705
     
68,457
     
16,018,525
 
Frederick W. Kanner
   
237,035,291
     
368,971
     
70,023
     
16,018,525
 
James Lam
   
237,123,033
     
280,666
     
70,586
     
16,018,525
 
Rodger A. Lawson
   
237,094,969
     
307,385
     
71,931
     
16,018,525
 
Shelley B. Leibowitz
   
237,121,861
     
286,184
     
66,240
     
16,018,525
 
Rebecca Saeger
   
237,121,046
     
285,263
     
67,976
     
16,018,525
 
Joseph L. Sclafani
   
237,116,065
     
286,535
     
71,685
     
16,018,525
 
Gary H. Stern
   
237,214,385
     
189,047
     
70,853
     
16,018,525
 
Donna L. Weaver
   
235,002,505
     
2,408,693
     
63,087
     
16,018,525
 

Proposal 2

Approval, by a non-binding advisory vote, of compensation paid by the Company to its Named Executive Officers.

For
 
Against
   
Abstain
   
Broker Non-Vote
 
228,173,286
   
9,179,640
     
121,359
     
16,018,525
 

Proposal 3

Ratification of the selection of Deloitte & Touche LLP as the Company’s independent registered public accounting firm for 2016.

For
 
Against
   
Abstain
 
249,379,341
   
4,004,221
     
109,248
 

Item 8.01.                          Other Events

On May 12, 2016, the Company’s Board approved amendments to each of the Company’s Corporate Governance Guidelines, Audit Committee Charter, Compensation Committee Charter, Governance Committee Charter, and Risk Oversight Committee Charter.
 
The Corporate Governance Guidelines, Audit Committee Charter, Compensation Committee Charter, Governance Committee Charter, and Risk Oversight Committee Charter, are filed as Exhibits 99.1, 99.2, 99.3, 99.4 and 99.5, respectively, to this Current Report on Form 8-K and are incorporated herein by reference.
 

Item 9.01.                    Financial Statements and Exhibits

(d) Exhibits.
 
Exhibit No.
 
Description
     
99.1
 
Corporate Governance Guidelines, effective May 12, 2016
99.2
 
Audit Committee Charter, effective May 12, 2016
99.3
 
Compensation Committee Charter, effective May 12, 2016
99.4
 
Governance Committee Charter, effective May 12, 2016
99.5
 
Risk Oversight Committee Charter, effective May 12, 2016
     



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.
 
  E*TRADE FINANCIAL CORPORATION  
     
       
Dated: May 13, 2016
By:
/s/ Karl A. Roessner  
    Name: Karl A. Roessner  
   
Title: Corporate Secretary