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 27, 2009
E*TRADE FINANCIAL Corporation
(Exact name of Registrant as Specified in its Charter)
Delaware | 1-11921 | 94-2844166 |
(State or other jurisdiction of incorporation or organization) | (Commission File Number)
| (I.R.S. Employer 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))
ITEM 2.02. RESULTS OF OPERATIONS AND FINANCIAL CONDITION
On October 27, 2009, the Company announced its third quarter earnings for fiscal year 2009. A copy of the Company’s press release is attached hereto as Exhibit 99.1 and incorporated by reference herein.
The Company announced a cumulative total of $688 million convertible debentures had been converted as of October 26, 2009, which results in approximately 1.9 billion of common shares outstanding. The remaining face value of convertible debt as of October 26, 2009 is $1.1 billion, which can be converted into approximately 1.0 billion shares of common stock.
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 9.01. FINANCIAL STATEMENTS AND EXHIBITS
(d) | Exhibits | |
99.1 | Earnings Press Release, dated October 27, 2009 |
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 27, 2009 | ||
E*TRADE FINANCIAL CORPORATION | |||
|
| By: | /s/ Karl A. Roessner |
Karl A. Roessner | |||
Corporate Secretary |