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: May 10, 2018
(Date
of earliest event reported)
E*TRADE
Financial Corporation
(Exact
name of Registrant as Specified in its Charter)
Delaware |
1-11921 |
94-2844166 |
(State or other jurisdiction |
(Commission File Number) |
(I.R.S. Employer |
11 Times Square, 32nd Floor, New York, New York 10036
(Address
of Principal Executive Offices and Zip Code)
(646) 521-4300
(Registrant’s Telephone Number, including Area
Code)
Not Applicable
(Former name or former address, if changed
since last report)
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))
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ⃞
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ⃞
Item 5.07 | Submission of Matters to a Vote of Security Holders |
At the Annual Meeting of Stockholders of E*TRADE Financial Corporation (the “Company”) held on May 10, 2018, stockholders considered four proposals, each of which is described in more detail in the Company’s definitive proxy statement filed on March 27, 2018.
The vote results detailed below represent the final results as certified by the Inspector of Elections:
Proposal 1
Election of 12 directors for a term that will end at the Company’s 2019 Annual Meeting of Stockholders:
Director | For | Against | Abstain | Broker Non-Vote |
Richard J. Carbone | 206,675,682 | 390,858 | 82,218 | 14,597,963 |
James P. Healy | 206,639,843 | 427,181 | 81,734 | 14,597,963 |
Kevin T. Kabat | 206,643,557 | 420,810 | 84,391 | 14,597,963 |
Frederick W. Kanner | 206,229,206 | 835,564 | 83,988 | 14,597,963 |
James Lam | 206,927,619 | 136,388 | 84,751 | 14,597,963 |
Rodger A. Lawson | 205,571,403 | 1,495,177 | 82,178 | 14,597,963 |
Shelley B. Leibowitz | 206,884,997 | 180,576 | 83,185 | 14,597,963 |
Karl A. Roessner | 206,914,088 | 149,619 | 85,051 | 14,597,963 |
Rebecca Saeger | 206,357,242 | 709,924 | 81,592 | 14,597,963 |
Joseph L. Sclafani | 206,875,718 | 190,433 | 82,607 | 14,597,963 |
Gary H. Stern | 206,622,034 | 447,291 | 79,433 | 14,597,963 |
Donna L. Weaver | 202,278,730 | 4,756,932 | 113,096 | 14,597,963 |
Proposal 2
Approval, by a non-binding advisory vote, of the compensation of the Company’s Named Executive Officers (the “Say-on-Pay Vote”):
For | Against | Abstain | Broker Non-Vote |
197,081,072 | 8,977,232 | 1,090,454 | 14,597,963 |
Proposal 3
Approval of the Company’s 2018 Employee Stock Purchase Plan:
For | Against | Abstain | Broker Non-Vote |
206,301,153 | 607,176 | 240,429 | 14,597,963 |
Proposal 4
Ratification of the selection of Deloitte & Touche LLP as the Company’s independent registered public accounting firm for 2018:
For | Against | Abstain |
215,565,376 | 5,479,247 | 702,098 |
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 10, 2018 |
|||
|
|
By: |
/s/ Lori S. Sher |
|
Name: |
Lori S. Sher |
|||
Title: |
Corporate Secretary |
3