E*Trade Contracts & Agreements

172 Contracts & Agreements
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Filed
Fourth Supplemental Indenture among Moon-Eagle Merger Sub II, LLC, Moon-Eagle Co-Obligor, Inc., E*TRADE Financial Corporation, and The Bank of New York Mellon Trust Company, N.A.
Indenture Agreements
E*Trade
Capital Markets
NY
2020
Agreement and Plan of Merger among Morgan Stanley, Moon-Eagle Merger Sub, Inc., and E*TRADE Financial Corporation (February 20, 2020)
Merger Agreements
E*Trade
Capital Markets
DE
2020
Description of Common Stock of E*TRADE Financial Corporation
Stock Agreements
E*Trade
Capital Markets
2020
Amendment to Employment Agreement between E*TRADE Financial Corporation and Executive
Employment Agreements
E*Trade
Capital Markets
2020
Employment Agreement between E*TRADE Financial Corporation and Executive
Employment Agreements
E*Trade
Capital Markets
VA
2020
Employment Agreement between E*TRADE Financial Corporation and Michael A. Pizzi (Chief Executive Officer)
Employment Agreements
E*Trade
Capital Markets
NY
2019
Amendment No. 1 to Employment Agreement between E*TRADE Financial Corporation and Michael J. Curcio
Employment Agreements
E*Trade
Capital Markets
2019
E*TRADE Financial Corporation Restricted Stock Units Agreement (2015 Omnibus Incentive Plan)
Bonus & Incentive Agreements
E*Trade
Capital Markets
NY
2019
E*TRADE Financial Corporation Restricted Stock Units Agreement (Non-Executive Form)
Equity Distribution Agreements
E*Trade
Capital Markets
NY
2019
E*TRADE Financial Corporation Performance Units Grant Agreement under 2015 Omnibus Incentive Plan
Bonus & Incentive Agreements
E*Trade
Capital Markets
NY
2019
E*TRADE Financial Corporation Performance Units Grant Agreement under 2015 Omnibus Incentive Plan
Bonus & Incentive Agreements
E*Trade
Capital Markets
NY
2019
Employment Agreement between E*TRADE Financial Corporation and Executive
Employment Agreements
E*Trade
Capital Markets
NY
2019
2019 Addendum to Employment Agreement between E*TRADE Financial Corporation and Karl A. Roessner
Employment Agreements
E*Trade
Capital Markets
2019
Summary of Compensation Terms for SVP, Chief Financial Officer Effective January 1, 2019
Compensation Agreements
E*Trade
Capital Markets
2019
E*TRADE Financial Corporation Change in Control Severance Agreement (Exhibit 10.23)
Change of Control Agreements
E*Trade
Capital Markets
NY
2019
Employment Agreement between E*TRADE Financial Corporation and Executive
Employment Agreements
E*Trade
Capital Markets
NY
2018
E*TRADE Financial Corporation Restricted Stock Units Agreement under 2015 Omnibus Incentive Plan
Bonus & Incentive Agreements
E*Trade
Capital Markets
NY
2018
E*TRADE Financial Corporation Restricted Stock Units Agreement (2015 Omnibus Incentive Plan)
Bonus & Incentive Agreements
E*Trade
Capital Markets
NY
2018
E*TRADE Financial Corporation 4.500% Senior Notes Due 2028 Underwriting Agreement with Credit Suisse, J.P. Morgan, Merrill Lynch, and Wells Fargo
Underwriting Agreements
E*Trade
Capital Markets
NY
2018
Third Supplemental Indenture to Indenture for 4.500% Senior Notes due 2028 between E*TRADE Financial Corporation and The Bank of New York Mellon Trust Company, N.A.
Indenture Agreements
E*Trade
Capital Markets
NY
2018
2018 Addendum to Employment Agreement between E*TRADE Financial Corporation and Karl A. Roessner
Employment Agreements
E*Trade
Capital Markets
2018
E*TRADE Financial Corporation Underwriting Agreement for 300,000 Depositary Shares (Preferred Stock, Series B)
Underwriting Agreements
E*Trade
Capital Markets
NY
2017
E*TRADE Financial Corporation Series B Preferred Stock Global Security Certificate
Stock Agreements
E*Trade
Capital Markets
2017
Deposit Agreement among E*TRADE Financial Corporation, The Bank of New York Mellon, and Holders of Depositary Receipts (2017)
Deposit Agreements
E*Trade
Capital Markets
NY
2017
Indemnification Agreement between E*TRADE Financial Corporation, Inc. and Director/Officer
Indemnification Agreements
E*Trade
Capital Markets
DE
2017
E*TRADE Financial Corporation Senior Notes Underwriting Agreement with Credit Suisse, J.P. Morgan, Merrill Lynch, and Wells Fargo (2017)
Underwriting Agreements
E*Trade
Capital Markets
NY
2017
Indenture Agreement between E*TRADE Financial Corporation and The Bank of New York Mellon Trust Company, N.A. dated August 24, 2017
Indenture Agreements
E*Trade
Capital Markets
NY
2017
First Supplemental Indenture to Indenture for 2.950% Senior Notes due 2022 between E*TRADE Financial Corporation and The Bank of New York Mellon Trust Company, N.A.
Indenture Agreements
E*Trade
Capital Markets
NY
2017
Second Supplemental Indenture to Indenture for 3.800% Senior Notes due 2027 between E*TRADE Financial Corporation and The Bank of New York Mellon Trust Company, N.A.
Indenture Agreements
E*Trade
Capital Markets
NY
2017
Employment Agreement between E*TRADE Financial Corporation and Executive
Employment Agreements
E*Trade
Capital Markets
NY
2017
2017 Addendum to Employment Agreement between E*TRADE Financial Corporation and Karl A. Roessner
Employment Agreements
E*Trade
Capital Markets
2017
Employment Agreement between E*TRADE Financial Corporation and Rodger A. Lawson (Executive Chairman)
Employment Agreements
E*Trade
Capital Markets
NY
2016
Employment Agreement between E*TRADE Financial Corporation and Karl A. Roessner (CEO)
Employment Agreements
E*Trade
Capital Markets
NY
2016
E*TRADE Financial Corporation Underwriting Agreement for 400,000 Shares of Preferred Stock (2016)
Underwriting Agreements
E*Trade
Capital Markets
NY
2016
E*TRADE Financial Corporation Series A Preferred Stock Global Security Certificate
Stock Agreements
E*Trade
Capital Markets
2016
$400,000,000 364-Day Credit Agreement among E*TRADE Clearing LLC, Lenders, and JPMorgan Chase Bank, N.A. (June 24, 2016)
Credit Agreements
E*Trade
Capital Markets
NY
2016
E*TRADE Financial Corporation Restricted Stock Agreement under 2015 Omnibus Incentive Plan
Stock Agreements
E*Trade
Capital Markets
NY
2016
E*TRADE Financial Corporation Deferred Restricted Stock Units Agreement under 2015 Omnibus Incentive Plan
Bonus & Incentive Agreements
E*Trade
Capital Markets
NY
2016
E*TRADE Financial Corporation Performance Units Grant Notice and Agreement under 2015 Omnibus Incentive Plan
Bonus & Incentive Agreements
E*Trade
Capital Markets
NY
2016
Employment Agreement between E*TRADE Financial Corporation and Executive
Employment Agreements
E*Trade
Capital Markets
NY
2016
Amendment No. 1 to Credit Agreement among E*TRADE Financial Corporation, JPMorgan Chase Bank, N.A., and Lenders
Credit Agreements
E*Trade
Capital Markets
NY
2015
Employment Agreement between E*TRADE Financial Corporation and Paul T. Idzik (CEO) Effective January 1, 2016
Employment Agreements
E*Trade
Capital Markets
NY
2015
Employment Agreement between E*TRADE Financial Corporation and Navtej S. Nandra (President) dated April 10, 2015
Employment Agreements
E*Trade
Capital Markets
NY
2015
$345,000,000 364-Day Credit Agreement among E*TRADE CLEARING LLC, Lenders, and JPMorgan Chase Bank, N.A. (June 26, 2015)
Credit Agreements
E*Trade
Capital Markets
NY
2015
E*TRADE Financial Corporation Amended and Restated Performance Units Grant and Agreement (2015-2016)
Bonus & Incentive Agreements
E*Trade
Capital Markets
NY
2015
E*TRADE Financial Corporation 4.625% Senior Notes Due 2023 Underwriting Agreement with Morgan Stanley & Co. LLC
Underwriting Agreements
E*Trade
Capital Markets
NY
2015
Third Supplemental Indenture to Senior Indenture for 4.625% Senior Notes due 2023 between E*TRADE Financial Corporation and The Bank of New York Mellon Trust Company, N.A.
Indenture Agreements
E*Trade
Capital Markets
NY
2015
Credit Agreement among E*TRADE Financial Corporation, Lenders, JPMorgan Chase Bank, and Morgan Stanley Senior Funding (November 10, 2014)
Credit Agreements
E*Trade
Capital Markets
NY
2015
E*TRADE Financial Corporation Restricted Stock Units Agreement (Executive Form)
Equity Distribution Agreements
E*Trade
Capital Markets
NY
2015
E*TRADE Financial Corporation Performance Units Grant Notice and Agreement (2015-2016)
Equity Distribution Agreements
E*Trade
Capital Markets
NY
2015
Employment Agreement between E*TRADE Financial Corporation and Executive
Employment Agreements
E*Trade
Capital Markets
NY
2015
E*TRADE Financial Corporation 5.375% Senior Notes Due 2022 Underwriting Agreement with J.P. Morgan Securities LLC and Others
Underwriting Agreements
E*Trade
Capital Markets
NY
2014
Second Supplemental Indenture to Senior Indenture for 5.375% Senior Notes due 2022 between E*TRADE Financial Corporation and The Bank of New York Mellon Trust Company, N.A.
Indenture Agreements
E*Trade
Capital Markets
NY
2014
Global Amendment to E*TRADE Agreements between Broadridge and E*TRADE Financial Corporation
Modification Agreements
E*Trade
Capital Markets
2014
Employment Agreement between E*TRADE Financial Corporation and Executive
Employment Agreements
E*Trade
Capital Markets
NY
2014
Transition and Separation Agreement between Michael Curcio and E*TRADE Financial Corporation
Separation Agreements
E*Trade
Capital Markets
2013
Employment Agreement between E*TRADE Financial Corporation and Navtej S. Nandra (President)
Employment Agreements
E*Trade
Capital Markets
NY
2013
E*TRADE Financial Corporation Underwriting Agreement with Citadel Equity Fund Ltd. and Citigroup Global Markets Inc. (March 2013)
Underwriting Agreements
E*Trade
Capital Markets
NY
2013
Employment Agreement between E*TRADE Financial Corporation and Paul Idzik (Chief Executive Officer)
Employment Agreements
E*Trade
Capital Markets
NY
2013
Underwriting Agreement for E*TRADE Financial Corporation 6% Senior Notes Due 2017 and 6.375% Senior Notes Due 2019
Underwriting Agreements
E*Trade
Capital Markets
NY
2012
Senior Indenture between E*TRADE Financial Corporation and The Bank of New York Mellon Trust Company, N.A. dated November 14, 2012
Indenture Agreements
E*Trade
Capital Markets
NY
2012
First Supplemental Indenture to Senior Indenture for E*TRADE Financial Corporation 6% and 6.375% Senior Notes (2017 & 2019)
Indenture Agreements
E*Trade
Capital Markets
NY
2012
Separation Agreement and General Release of Claims between Steven J. Freiberg and E*TRADE Financial Corporation
Separation Agreements
E*Trade
Capital Markets
2012
E*TRADE Financial Corporation 2010 Code of Professional Conduct
Code of Ethics
E*Trade
Capital Markets
2012
Security Agreement among E*TRADE Financial Corporation, Subsidiary Grantors, and The Bank of New York Mellon as Collateral Trustee (June 15, 2011)
Security Agreements
E*Trade
Capital Markets
NY
2011
First Supplemental Indenture to 6.75% Notes Due 2016 among E*TRADE Financial Corporation, Guaranteeing Subsidiaries, and The Bank of New York Mellon Trust Company, N.A.
Indenture Agreements
E*Trade
Capital Markets
NY
2011
Second Supplemental Indenture to 7.875% Notes Due 2015 among E*TRADE Financial Corporation, Guaranteeing Subsidiaries, and The Bank of New York Mellon
Indenture Agreements
E*Trade
Capital Markets
NY
2011
Fourth Supplemental Indenture to 12.5% Springing Lien Notes Due 2017 among E*TRADE Financial Corporation, Guaranteeing Subsidiaries, and The Bank of New York Mellon
Indenture Agreements
E*Trade
Capital Markets
NY
2011
Third Supplemental Indenture to Indenture for Class A and B Senior Convertible Debentures due 2019 among E*TRADE Financial Corporation, Guaranteeing Subsidiaries, and The Bank of...
Indenture Agreements
E*Trade
Capital Markets
NY
2011
E*TRADE Financial Corporation and J.P. Morgan Securities LLC Underwriting Agreement for $435 Million 6.75% Senior Notes Due 2016
Underwriting Agreements
E*Trade
Capital Markets
NY
2011
Indenture Agreement for 6.75% Senior Notes Due 2016 between E*TRADE Financial Corporation and The Bank of New York Mellon Trust Company, N.A.
Indenture Agreements
E*Trade
Capital Markets
NY
2011
Underwriting Agreement among E*TRADE Financial Corporation, Citadel Equity Fund Ltd., and Morgan Stanley & Co. Incorporated (April 25, 2011)
Underwriting Agreements
E*Trade
Capital Markets
NY
2011
Underwriting Agreement among E*TRADE Financial Corporation, Citadel Equity Fund Ltd., and Goldman, Sachs & Co. (February 23, 2011)
Underwriting Agreements
E*Trade
Capital Markets
NY
2011
Transition Agreement between E*TRADE Financial Corporation and Bruce Nolop
Transition Agreements
E*Trade
Capital Markets
2011
E*TRADE Financial Corporation $150,000,000 Common Stock Distribution Agreement with Sandler O’Neill & Partners, L.P.
Equity Distribution Agreements
E*Trade
Capital Markets
NY
2009
Fourth Amendment to Rights Agreement between E*TRADE Financial Corporation and American Stock Transfer & Trust Company
Modification Agreements
E*Trade
Capital Markets
NY
2009
Indenture Agreement for Class A and Class B Senior Convertible Debentures due 2019 between E*TRADE Financial Corporation and The Bank of New York Mellon
Indenture Agreements
E*Trade
Capital Markets
DE
2009
Third Supplemental Indenture to 8% Senior Notes due 2011 between E*TRADE Financial Corporation and The Bank of New York Mellon
Indenture Agreements
E*Trade
Capital Markets
NY
2009
Third Supplemental Indenture to 12.5% Springing Lien Notes Due 2017 between E*TRADE Financial Corporation and The Bank of New York Mellon
Indenture Agreements
E*Trade
Capital Markets
NY
2009
Third Amendment to Rights Agreement between E*TRADE Financial Corporation and American Stock Transfer & Trust Company
Modification Agreements
E*Trade
Capital Markets
NY
2009
Amendment No. 1 to Exchange Agreement between E*TRADE Financial Corporation and Citadel Equity Fund Ltd.
Exchange Agreements
E*Trade
Capital Markets
NY
2009
E*TRADE Financial Corporation Underwriting Agreement with J.P. Morgan Securities Inc., Sandler O'Neill & Partners, L.P., and E*TRADE Securities LLC (June 18, 2009)
Underwriting Agreements
E*Trade
Capital Markets
NY
2009
Second Amendment to Rights Agreement between E*TRADE Financial Corporation and American Stock Transfer and Trust Company
Modification Agreements
E*Trade
Capital Markets
NY
2009
Exchange Agreement between E*TRADE Financial Corporation and Citadel Equity Fund Ltd. (June 17, 2009)
Exchange Agreements
E*Trade
Capital Markets
DE
2009
E*TRADE Financial Corporation $150,000,000 Common Stock Distribution Agreement with J.P. Morgan Securities Inc.
Equity Distribution Agreements
E*Trade
Capital Markets
NY
2009
E*TRADE 401(k) Plan Restatement Agreement (Effective December 15, 2006)
Profit Sharing Plans
E*Trade
Capital Markets
2009
Employment Agreement between E*TRADE Financial Corporation and Nick Utton (Chief Marketing Officer)
Employment Agreements
E*Trade
Capital Markets
NY
2009
E*TRADE Financial Corporation Severance Agreement with Greg Framke (2007)
Severance Agreements
E*Trade
Capital Markets
VA
2009
E*TRADE Financial Corporation Severance Agreement with Michael Curcio
Severance Agreements
E*Trade
Capital Markets
VA
2009
Employment Agreement between E*TRADE Financial Corporation and Bruce P. Nolop (CFO)
Employment Agreements
E*Trade
Capital Markets
NY
2008
Extension of Consulting Period in Separation Agreement for Investor Relations Services between Robert Simmons and E*TRADE Financial Corporation
Consulting Agreements
E*Trade
Capital Markets
2008
Indemnification Agreement between E*TRADE Financial Corporation and Director/Officer (July 30, 2008)
Indemnification Agreements
E*Trade
Capital Markets
DE
2008
Stock Purchase Agreement between The Bank of Nova Scotia and U.S. Raptor Three, Inc. for 3045175 Nova Scotia Company
Purchase Agreements
E*Trade
Capital Markets
DE
2008
Guarantee and Support Agreement between E*TRADE Financial Corporation and The Bank of Nova Scotia
Guaranty Agreements
E*Trade
Capital Markets
NY
2008
Employment Agreement between E*TRADE Financial Corporation and Donald H. Layton
Employment Agreements
E*Trade
Capital Markets
NY
2008
Separation Agreement and General Release of Claims between Arlen W. Gelbard and E*TRADE Financial Corporation
Separation Agreements
E*Trade
Capital Markets
2008
Separation Agreement and General Release of Claims between R. Jarrett Lilien and E*TRADE Financial Corporation
Separation Agreements
E*Trade
Capital Markets
2008
Separation Agreement and General Release of Claims between Robert Simmons and E*TRADE Financial Corporation
Separation Agreements
E*Trade
Capital Markets
2008
Exchange Agreement between E*TRADE Financial Corporation and Noteholder for Common Stock Issuance
Exchange Agreements
E*Trade
Capital Markets
NY
2008
Equities and Options Order Handling Agreement among E*TRADE Financial Corporation, E*TRADE Securities LLC, and Citadel Derivatives Group LLC (2007)
Services Agreements
E*Trade
Capital Markets
DE
2008
Separation Agreement and General Release of Claims between E*TRADE Financial Corporation and Mitchell H. Caplan
Separation Agreements
E*Trade
Capital Markets
2008
Registration Rights Agreement between Wingate Capital Ltd. and E*TRADE Financial Corporation (2007)
Registration Rights Agreements
E*Trade
Capital Markets
DE
2007
Indenture Agreement for 12.5% Springing Lien Notes Due 2017 between E*TRADE Financial Corporation and The Bank of New York
Indenture Agreements
E*Trade
Capital Markets
DC
2007
First Amendment to Rights Agreement between E*TRADE Financial Corporation and American Stock Transfer and Trust Company
Modification Agreements
E*Trade
Capital Markets
2007
Master Investment and Securities Purchase Agreement between Wingate Capital Ltd. and E*TRADE Financial Corporation (November 29, 2007)
Purchase Agreements
E*Trade
Capital Markets
NY
2007
Securities Purchase Agreement between E*TRADE Financial Corporation and Investment Partners (A), LLC and Additional Investors
Purchase Agreements
E*Trade
Capital Markets
2007
ABS Purchase Agreement among Citadel Equity Fund Ltd., E*TRADE Bank, E*TRADE Global Asset Management, and E*TRADE Financial Corporation (November 29, 2007)
Purchase Agreements
E*Trade
Capital Markets
2007
Amendment No. 1 to Credit Agreement among E*TRADE Financial Corporation, Lenders, JPMorgan Chase Bank, and Morgan Stanley Senior Funding
Credit Agreements
E*Trade
Capital Markets
NY
2007
E*TRADE FINANCIAL Code of Professional Conduct (2006)
Code of Ethics
E*Trade
Capital Markets
2006
Purchase Contract and Pledge Agreement between E*TRADE Financial Corporation and The Bank of New York (November 22, 2005)
Purchase Agreements
E*Trade
Capital Markets
NY
2006
Subordinated Indenture between E*TRADE Financial Corporation and The Bank of New York (November 22, 2005)
Indenture Agreements
E*Trade
Capital Markets
NY
2006
Supplemental Indenture No. 1 between E*TRADE Financial Corporation and The Bank of New York (November 22, 2005)
Indenture Agreements
E*Trade
Capital Markets
NY
2006
Indenture Agreement Dated November 22, 2005 Between E*TRADE Financial Corporation and The Bank of New York for 7 7/8% Senior Notes Due 2015
Indenture Agreements
E*Trade
Capital Markets
NY
2006
Remarketing Agreement among E*TRADE Financial Corporation, Morgan Stanley & Co. Incorporated, and The Bank of New York (November 22, 2005)
Financing Agreements
E*Trade
Capital Markets
NY
2006
E*TRADE Financial Corporation Common Stock Underwriting Agreement with Morgan Stanley & Co. and J.P. Morgan Securities
Underwriting Agreements
E*Trade
Capital Markets
VA
2005
E*TRADE Financial Corporation $300,000,000 7 7/8% Senior Notes Due 2015 Underwriting Agreement with Morgan Stanley & Co. Incorporated and J.P. Morgan Securities Inc.
Underwriting Agreements
E*Trade
Capital Markets
VA
2005
E*TRADE Financial Corporation Equity Units Underwriting Agreement with Morgan Stanley & Co. and J.P. Morgan Securities
Underwriting Agreements
E*Trade
Capital Markets
VA
2005
Remarketing Agreement among E*TRADE Financial Corporation, Morgan Stanley & Co. Incorporated, and The Bank of New York (November 2005)
E*Trade
Capital Markets
NY
2005
Confirmation of Forward Stock Sale Transaction between E*TRADE Financial Corporation and Morgan Stanley & Co. International Limited (November 16, 2005)
Purchase Agreements
E*Trade
Capital Markets
2005
Confirmation of Forward Stock Sale Transaction between JPMorgan Chase Bank and E*TRADE Financial Corporation
E*Trade
Capital Markets
OH
2005
E*TRADE Financial Corporation Purchase Contract and Pledge Agreement with The Bank of New York (2005)
Pledge Agreements
E*Trade
Capital Markets
NY
2005
Supplemental Indenture No. 1 between E*TRADE Financial Corporation and The Bank of New York, as Trustee, dated November 22, 2005
Indenture Agreements
E*Trade
Capital Markets
NY
2005
First Supplemental Indenture to 7 3/8% Senior Notes Due 2013 between E*TRADE Financial Corporation and The Bank of New York
Indenture Agreements
E*Trade
Capital Markets
NY
2005
Registration Rights Agreement between E*TRADE Financial Corporation and Morgan Stanley & Co. Incorporated and J.P. Morgan Securities Inc. dated November 10, 2005
Registration Rights Agreements
E*Trade
Capital Markets
NY
2005
First Supplemental Indenture to 8% Senior Notes Due 2011 between E*TRADE Financial Corporation and The Bank of New York (September 19, 2005)
Indenture Agreements
E*Trade
Capital Markets
NY
2005
Indenture Agreement for E*TRADE Financial Corporation 7.375% Senior Notes Due 2013 with The Bank of New York as Trustee
Indenture Agreements
E*Trade
Capital Markets
NY
2005
Registration Rights Agreement between E*TRADE Financial Corporation and J.P. Morgan Securities Inc. and Morgan Stanley & Co. Incorporated (September 19, 2005)
Registration Rights Agreements
E*Trade
Capital Markets
NY
2005
Registration Rights Agreement between E*TRADE Financial Corporation and J.P. Morgan Securities Inc. and Morgan Stanley & Co. Incorporated (September 19, 2005)
Registration Rights Agreements
E*Trade
Capital Markets
NY
2005
Credit Agreement among E*TRADE Financial Corporation, Lenders, JPMorgan Chase Bank, and Morgan Stanley Senior Funding (September 19, 2005)
Credit Agreements
E*Trade
Capital Markets
NY
2005
First Amendment to Purchase and Sale Agreement among Harris Financial Corp., Harrisdirect LLC, and E*TRADE Financial Corporation
Purchase Agreements
E*Trade
Capital Markets
2005
Sale and Purchase Agreement among JPMorgan Chase & Co., J.P. Morgan Invest Inc., and E*TRADE Financial Corporation dated September 28, 2005
Purchase Agreements
E*Trade
Capital Markets
DE
2005
Purchase and Sale Agreement among Harris Financial Corp., Harrisdirect LLC, and E*TRADE Financial Corporation (August 7, 2005)
Purchase Agreements
E*Trade
Capital Markets
DE
2005
E*TRADE Financial Corporation 2005 Equity Incentive Plan and Forms of Award Agreements
Bonus & Incentive Agreements
E*Trade
Capital Markets
CA
2005
E*TRADE Financial Corporation Executive Bonus Plan (Effective March 30, 2005)
Bonus & Incentive Agreements
E*Trade
Capital Markets
2005
Employment Agreement between E*TRADE Financial Corporation and Executive (Form Agreement, 2004)
Employment Agreements
E*Trade
Capital Markets
NY
2004
E*TRADE FINANCIAL 2004 Code of Professional Conduct
Code of Ethics
E*Trade
Capital Markets
2004
E*TRADE FINANCIAL 2004 Code of Professional Conduct
Code of Ethics
E*Trade
Capital Markets
2004
Employment Agreement between E*TRADE Financial Corporation and Executive (Form Agreement, 2004)
Employment Agreements
E*Trade
Capital Markets
NY
2004
Settlement Agreement between E*TRADE Financial Corporation and Christos M. Cotsakos dated December 10, 2003
Settlement Agreements
E*Trade
Capital Markets
CA
2004
E*TRADE Financial Sweep Deposit Account Brokerage and Servicing Agreement between E*TRADE Bank and E*TRADE Clearing LLC (2003)
Deposit Agreements
E*Trade
Capital Markets
VA
2003
Master Services Agreement between ADP Financial Information Services, Inc. and E*TRADE Group, Inc.
Services Agreements
E*Trade
Capital Markets
2003
Separation Agreement between E*TRADE Group, Inc. and Christos M. Cotsakos dated January 23, 2003
Separation Agreements
E*Trade
Capital Markets
CA
2003
Employment Agreement between E*TRADE Group, Inc. and Mitchell H. Caplan dated January 23, 2003
Employment Agreements
E*Trade
Capital Markets
2003
Amendment to Employment Agreement between E*TRADE Group, Inc. and Executive (January 21, 2003)
Employment Agreements
E*Trade
Capital Markets
2003
Agreement and Plan of Merger among E*TRADE Group, Inc., Tradescape Corp., and Affiliates (April 10, 2002)
Merger Agreements
E*Trade
Capital Markets
DE
2002
E*TRADE Group, Inc. Amended and Restated 1996 Stock Incentive Plan
Bonus & Incentive Agreements
E*Trade
Capital Markets
2002
Employment Agreement between E*TRADE Group, Inc. and Christos M. Cotsakos (May 15, 2002)
Employment Agreements
E*Trade
Capital Markets
CA
2002
Employment Agreement between E*TRADE Group, Inc. and Jerry Gramaglia dated October 1, 2001
Employment Agreements
E*Trade
Capital Markets
CA
2002
Employment Agreement between E*TRADE Group, Inc. and Mitchell H. Caplan (Effective October 1, 2001)
Employment Agreements
E*Trade
Capital Markets
CA
2002
Termination Agreement and General Release between SoundView Technology Group, Inc. and E*TRADE Group Inc.
Termination Agreements
E*Trade
Capital Markets
NY
2001
Agreement Regarding Increase of Capital Commitment between E*TRADE Group, Inc. and ArrowPath Venture Partners I, LLC
Contribution Agreements
E*Trade
Capital Markets
2001
Amendment to Amended and Restated Limited Partnership Agreement of E*TRADE eCommerce Fund, L.P.
Limited Partnership Agreements
E*Trade
Capital Markets
2001
Promissory Note and Stock Pledge Agreement between William Porter and E*TRADE Group, Inc.
Pledge Agreements
E*Trade
Capital Markets
CA
2001
Second Amended Employment Agreement between E*TRADE Group, Inc. and Christos M. Cotsakos (Effective August 27, 2001)
Employment Agreements
E*Trade
Capital Markets
CA
2001
Loan Agreement and Secured Promissory Note between Dennis and Deborah Lundien and E*TRADE Group, Inc.
Loan Agreements
E*Trade
Capital Markets
CA
2001
E*TRADE Group, Inc. Loan and Stock Pledge Agreement with Christos M. Cotsakos dated June 19, 2001
Loan Agreements
E*Trade
Capital Markets
DE
2001
Stock Pledge Agreement between E*TRADE Group, Inc. and Charles W. Thomson dated February 28, 2001
Pledge Agreements
E*Trade
Capital Markets
CA
2001
Loan, Promissory Note, and Stock Pledge Agreement between Pamela Kramer and E*TRADE Group, Inc.
Loan Agreements
E*Trade
Capital Markets
CA
2001
Residential Lease with Option to Buy between B.R.E. Holdings LLC and Tenant
Lease Agreements
E*Trade
Capital Markets
2001
E*TRADE Group, Inc. 1996 Stock Incentive Plan (Amended and Restated as of April 19, 2000)
Bonus & Incentive Agreements
E*Trade
Capital Markets
2000
Menlo Oaks Corporate Center Standard Business Lease Agreement (Menlo Oaks Partners, L.P. and E*TRADE Group, Inc.)
Lease Agreements
E*Trade
Capital Markets
CA
2000
E*Trade Ventures II, LLC Limited Liability Company Operating Agreement (June 16, 2000)
Limited Liability Company Agreements
E*Trade
Capital Markets
DE
2000
Secured Promissory Note Between Dennis Lundien and E*TRADE Group, Inc. Dated February 28, 2000
Note Agreements
E*Trade
Capital Markets
CA
2000
E*TRADE Group, Inc. Management Continuity Agreement with Mitchell H. Caplan (June 9, 1999)
Employment Agreements
E*Trade
Capital Markets
VA
2000
E*TRADE Group, Inc. Model Management Continuity Agreement with Jarrett Lilien (CEO—TIR)
Employment Agreements
E*Trade
Capital Markets
2000
Employment Agreement between E*TRADE Group, Inc. and Jerry Gramaglia (President and COO)
Employment Agreements
E*Trade
Capital Markets
CA
2000
Amended Employment Agreement between E*TRADE Group, Inc. and Christos M. Cotsakos
Employment Agreements
E*Trade
Capital Markets
CA
2000
E*Trade eCommerce Fund II, L.P. Limited Partnership Agreement (E*Trade Ventures II, LLC and Limited Partners)
Limited Partnership Agreements
E*Trade
Capital Markets
DE
2000
Employment Agreement between E*TRADE Group, Inc. and Jerry Gramaglia (President and COO)
Employment Agreements
E*Trade
Capital Markets
CA
2000
E*TRADE Group, Inc. Note Secured by Stock Pledge Agreement with Executive Officers
Note Agreements
E*Trade
Capital Markets
CA
2000
Stock Pledge Agreement between E*TRADE Group, Inc. and Executive Officer
Pledge Agreements
E*Trade
Capital Markets
CA
2000
Secured Promissory Note by Charles W. Thomson and Sara A. Fields-Thomson in Favor of E*TRADE Group, Inc.
Note Agreements
E*Trade
Capital Markets
CA
2000