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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 (Date of earliest event reported): October 17, 2007
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
of incorporation or organization) Identification Number)
135 East 57th Street, New York, New York 10022
(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))
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ITEM 2.02. RESULTS OF OPERATIONS AND FINANCIAL CONDITION
The following information is furnished pursuant to Item 2.02, "Results of
Operations and Financial Condition".
On October 17, 2007, the Company announced its third quarter earnings for
fiscal year 2007. A copy of the Company's press release is attached hereto as
Exhibit 99.1 and incorporated by reference herein.
The information furnished shall not be deemed "filed" for purposes of
Section 18 of the Securities Exchange Act of 1934, or incorporated by reference
into any filing thereunder or under the Securities Act of 1933 unless expressly
set forth by specific reference in such filing.
ITEM 7.01. REGULATION FD DISCLOSURE
The Company is issuing the information contained in Exhibit 99.2 furnished
herewith and incorporated by reference in this Item 7.01.
The information appearing in this Item 7.01 and in Exhibit 99.2 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.
ITEM 9.01. FINANCIAL STATEMENTS AND EXHIBITS
(d) Exhibits
99.1 Earnings Press Release, dated October 17, 2007
99.2 Supplemental Portfolio Disclosure (all data as of
September 30, 2007)
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SIGNATURE
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, thereunto duly authorized.
Dated: October 17, 2007
E*TRADE FINANCIAL CORPORATION
By: /s/ Arlen W. Gelbard
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Arlen W. Gelbard
Chief Administrative Officer and General
Counsel
