ETRADE Form 144 Notice: Proposed Sale of 3,731 Shares Valued $417.9K

Rhea-AI Filing Summary

Form 144 notice reports a proposed sale of 3,731 shares of common stock of ETRADE FINANCIAL CORPORATION on NASDAQ with an aggregate market value of $417,872 and 60,658,809 shares outstanding. The securities were acquired on 08/07/2025 through restricted stock vesting from the issuer and the reported payment/nature is compensation. The proposed sale date is 08/08/2025. The filer reports no securities sold in the past three months and the filing is marked LIVE. The form includes the standard representation that the seller does not possess undisclosed material adverse information and references trading-plan/Rule 10b5-1 considerations.

Insights

Financial Analyst

TL;DR: The proposed sale is immaterial to capitalization; value is $417,872 and represents ~0.0062% of outstanding shares.

The filing discloses a small, routine proposed sale of 3,731 shares valued at $417,872 against 60,658,809 shares outstanding, implying a negligible impact on market supply or company ownership. The shares were issued via restricted stock vesting the day before sale, and no prior sales in the past three months are reported. For investors, this is a compliance disclosure rather than a material corporate development.

Corporate Governance Expert

TL;DR: Form 144 is a routine Rule 144 disclosure confirming proposed sale and the seller's representation about lack of undisclosed material information.

The document follows Rule 144 mechanics: it identifies the class, broker, proposed sale date, acquisition method (restricted stock vesting), and contains the sellers certification about material nonpublic information. It also notes the option for trading-plan/Rule 10b5-1 adoption language. There are no red flags such as large block sales, prior three-month sales, or unusual consideration terms disclosed.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
COMMON	ETRADE FINANCIAL CORPORATION ETRADE FINANCIAL CORPORATION 3 EDISON DRIVE ALPHARETTA GA 30005	3731	417872.00	60658809	08/08/2025	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
COMMON	08/07/2025	RESTRICTED STOCK VESTING	ISSUER			3731	08/07/2025	COMPENSATION

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What securities are being offered for sale in this Form 144?

3,731 shares of common stock of ETRADE FINANCIAL CORPORATION are proposed for sale.

When is the proposed sale date and on which exchange will it occur?

Proposed sale date: 08/08/2025; Exchange: NASDAQ.

How were the shares acquired and when were they paid for?

Acquisition: Restricted stock vesting from the issuer on 08/07/2025; Nature of payment: Compensation on 08/07/2025.

What is the aggregate market value and how many shares are outstanding?

Aggregate market value: $417,872; Shares outstanding: 60,658,809.

Were any securities of the issuer sold by this person in the past three months?

No. The filer reports Nothing to Report for securities sold in the past three months.