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ETFC > SEC Filings for ETFC > Form 8-K on 7-May-2014All Recent SEC Filings

Show all filings for E TRADE FINANCIAL CORP

Form 8-K for E TRADE FINANCIAL CORP


7-May-2014

Submission of Matters to a Vote of Security Holders, Other Events, Financi


Item 5.07. Submission of Matters to a Vote of Security Holders

At the Company's Annual Meeting of Stockholders held on May 6, 2014, stockholders considered three proposals, each of which is described in more detail in the Company's definitive proxy statement filed on March 25, 2014 for the Annual Meeting of Stockholders.

The vote results detailed below represent the final results as certified by the Inspector of Elections:

Proposal 1

Election of eleven directors for a term that will end at the Company's Annual Meeting of Stockholders in 2015.

      Director           For      Against  Abstain Broker Non-Vote
Richard J. Carbone   227,657,380 1,189,999 180,032   25,663,264
Mohsen Z. Fahmi      227,649,575 1,184,529 193,307   25,663,264
Christopher M. Flink 227,643,093 1,191,875 192,443   25,663,264
Paul T. Idzik        228,339,148  506,913  181,350   25,663,264
Frederick W. Kanner  227,646,629 1,199,942 180,840   25,663,264
James Lam            227,672,278 1,174,238 180,895   25,663,264
Rodger A. Lawson     227,669,918 1,176,853 180,640   25,663,264
Rebecca Saeger       227,580,044 1,271,706 175,661   25,663,264
Joseph L. Sclafani   227,655,220 1,191,291 180,900   25,663,264
Joseph M. Velli      227,637,365 1,208,879 181,167   25,663,264
Donna L. Weaver      226,194,838 2,695,024 137,549   25,663,264

Proposal 2

Approval, by a non-binding advisory vote, of compensation paid by the Company to its Named Executive Officers.

For Against Abstain Broker Non-Vote 216,389,040 12,313,735 324,636 25,663,264

Proposal 3

Ratification of the appointment of Deloitte & Touche LLP as independent registered public accounting firm for the Company for 2014.

For Against Abstain
250,118,676 4,349,814 222,185



Item 8.01. Other Events

On May 6, 2014, the Company's Board approved amendments to each of the Company's Corporate Governance Guidelines, Audit Committee Charter, Compensation Committee Charter, Governance Committee Charter and Risk Oversight Committee Charter.

The Corporate Governance Guidelines, Audit Committee Charter, Compensation Committee Charter, Governance Committee Charter and Risk Oversight Committee Charter, are filed as Exhibits 99.1, 99.2, 99.3, 99.4 and 99.5, respectively, to this Current Report on Form 8-K and are incorporated herein by reference.




Item 9.01. Financial Statements and Exhibits

(d) Exhibits.

Exhibit No.   Description

99.1          Corporate Governance Guidelines, as amended May 6, 2014
99.2          Audit Committee Charter, as amended May 6, 2014
99.3          Compensation Committee Charter, as amended May 6, 2014
99.4          Governance Committee Charter, as amended May 6, 2014
99.5          Risk Oversight Committee Charter, as amended May 6, 2014


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