AGREEMENT AND PLAN OF MERGERS, MEMBER INTEREST PURCHASE AND REORGANIZATION OFMerger Agreement • September 19th, 2001 • E Trade Group Inc • Security brokers, dealers & flotation companies • Delaware
ANDMerger Agreement • October 26th, 2000 • E Trade Group Inc • Security brokers, dealers & flotation companies • Delaware
Exhibit 3 STOCK OPTION AGREEMENT STOCK OPTION AGREEMENT (the "Agreement"), dated as of May 31, 1999, by and between, E*TRADE Group, Inc., a Delaware corporation ("Parent"), and Telebanc Financial Corporation, a Delaware corporation ("Company")....Stock Option Agreement • June 10th, 1999 • E Trade Group Inc • Security brokers, dealers & flotation companies • Delaware
EXHIBIT 99.2Stock Option Agreement • August 28th, 2000 • E Trade Group Inc • Security brokers, dealers & flotation companies • Ontario
EXHIBIT 10.5Operating Agreement • April 17th, 2000 • E Trade Group Inc • Security brokers, dealers & flotation companies • Delaware
RIGHTS AGREEMENTRights Agreement • July 17th, 2001 • E Trade Group Inc • Security brokers, dealers & flotation companies • New York
Exhibit 10.7 Execution Version E*Trade eCommerce Fund II, L.P. A Delaware Limited Partnership LIMITED PARTNERSHIP AGREEMENT June 16, 2000 TABLE OF CONTENTSLimited Partnership Agreement • August 14th, 2000 • E Trade Group Inc • Security brokers, dealers & flotation companies • Delaware
RECITALSShareholder Agreement • October 26th, 2000 • E Trade Group Inc • Security brokers, dealers & flotation companies • Delaware
as Trustee INDENTUREIndenture • April 27th, 2000 • E Trade Group Inc • Security brokers, dealers & flotation companies • New York
E*TRADE FINANCIAL CORPORATION 400,000 Shares of Preferred Stock ($0.01 par value per share, liquidation preference $1,000 per share) UNDERWRITING AGREEMENTUnderwriting Agreement • August 25th, 2016 • E TRADE FINANCIAL Corp • Savings institution, federally chartered • New York
E*TRADE Financial Corporation, a Delaware corporation (the “Company”), confirms its agreement with the several underwriters listed in Schedule 1 hereto (the “Underwriters”) for whom Credit Suisse Securities (USA) LLC, Goldman, Sachs & Co., J.P. Morgan Securities LLC and Morgan Stanley & Co. LLC are acting as representatives (the “Representatives”) with respect to the issuance and sale by the Company, subject to the terms and conditions described below (this “Agreement”), of an aggregate of 400,000 shares (the “Shares”) of its Fixed-to-Floating Non-Cumulative Perpetual Preferred Stock, Series A, $0.01 par value per share, liquidation preference $1,000 per share (the “Preferred Stock”).
ARTICLE 10 GRANT OF PROXY; VOTING AGREEMENT; AGREEMENT TO TENDERStockholder Agreement • May 30th, 2001 • E Trade Group Inc • Security brokers, dealers & flotation companies
INDENTUREIndenture • June 28th, 2001 • E Trade Group Inc • Security brokers, dealers & flotation companies • New York
1 EXHIBIT 99.3 E*TRADE GROUP, INC. STOCK OPTION AGREEMENT RECITALS A. The Board has adopted the Plan for the purpose of retaining the services of selected Associates and individuals who provide services to the Corporation (or any Parent or...Stock Option Agreement • August 27th, 1998 • E Trade Group Inc • Security brokers, dealers & flotation companies • California
RECITALSJoint Venture Agreement • June 12th, 1998 • E Trade Group Inc • Security brokers, dealers & flotation companies
BY AND AMONGMerger Agreement • June 10th, 1999 • E Trade Group Inc • Security brokers, dealers & flotation companies • Delaware
Exhibit 10.12 ------------- This form of Stock Pledge Agreement is identical for all executive officers listed below. Officer Name: Christos M. Cotsakos Jerry Gramaglia Michael Sievert Connie M. Dotson Leonard C. Purkis Pamela Kramer...Stock Pledge Agreement • August 14th, 2000 • E Trade Group Inc • Security brokers, dealers & flotation companies • California
CREDIT AGREEMENT dated as of November 10, 2014, among E*TRADE FINANCIAL CORPORATION, as Borrower, The Lenders Party Hereto, JPMORGAN CHASE BANK, N.A., as Administrative Agent, andCredit Agreement • February 24th, 2015 • E TRADE FINANCIAL Corp • Savings institution, federally chartered • New York
CREDIT AGREEMENT dated as of November 10, 2014 (this “Agreement”), among E*TRADE FINANCIAL CORPORATION, the LENDERS party hereto, JPMORGAN CHASE BANK, N.A., as Administrative Agent, and Morgan Stanley Senior Funding, Inc., as Syndication Agent.
BACKGROUNDEmployment Agreement • February 14th, 2000 • E Trade Group Inc • Security brokers, dealers & flotation companies • California
BACKGROUNDEmployment Agreement • August 14th, 2000 • E Trade Group Inc • Security brokers, dealers & flotation companies • California
EXHIBIT 2.2 AMENDMENT AGREEMENT AMENDMENT AGREEMENT (the "Agreement") dated as of September 26, 2000 between Wit SoundView Group, Inc., a Delaware corporation ("Parent"), Wit SoundView Corporation, a Delaware corporation and a direct wholly-owned...Amendment Agreement • October 26th, 2000 • E Trade Group Inc • Security brokers, dealers & flotation companies • Delaware
EXHIBIT 2.1 MERGER AGREEMENT TABLE OF CONTENTSMerger Agreement • July 18th, 2000 • E Trade Group Inc • Security brokers, dealers & flotation companies • Ontario
EXHIBIT 4.3 6% CONVERTIBLE SUBORDINATED NOTES DUE 2007 REGISTRATION RIGHTS AGREEMENT Dated as of February 1, 2000Registration Rights Agreement • April 27th, 2000 • E Trade Group Inc • Security brokers, dealers & flotation companies • New York
EXHIBIT 99.3Stock Option Assumption Agreement • August 28th, 2000 • E Trade Group Inc • Security brokers, dealers & flotation companies
EXHIBIT 99.9 E*TRADE GROUP, INC. NON STATUTORY STOCK OPTION AGREEMENT ------------------------------------ RECITALS -------- A. Optionee is to render valuable services to the Corporation (or a Parent or Subsidiary), and this Agreement is executed in...Non Statutory Stock Option Agreement • April 18th, 2000 • E Trade Group Inc • Security brokers, dealers & flotation companies • California
E*TRADE FINANCIAL CORPORATION 172,000,000 Shares of Common Stock ($0.01 par value per share) UNDERWRITING AGREEMENTUnderwriting Agreement • May 3rd, 2010 • E Trade Financial Corp • Savings institution, federally chartered • New York
Certain stockholders named in Schedule 2 hereto (the “Selling Stockholders”) of E*TRADE Financial Corporation, a Delaware corporation (the “Company”), propose to sell to the several Underwriters listed in Schedule 1 hereto (the “Underwriters”), for whom Merrill Lynch, Pierce, Fenner & Smith Incorporated, Sandler O’Neill & Partners, L.P. and Citadel Securities LLC are acting as representatives (the “Representatives”), with respect to the sale by the Selling Stockholders, subject to the terms and conditions described below (this “Agreement”), of an aggregate of 172,000,000 shares (the “Underwritten Shares”) of common stock, $0.01 par value per share (the “Common Stock”), of the Company and, at the option of the Underwriters, up to an additional 25,800,000 shares of common stock of the Company (the “Option Shares”). The Underwritten Shares and the Option Shares are herein referred to as the “Shares”.
Exhibit 10.4 6% CONVERTIBLE SUBORDINATED NOTES DUE 2007 REGISTRATION RIGHTS AGREEMENT Dated as of February 1, 2000Registration Rights Agreement • February 14th, 2000 • E Trade Group Inc • Security brokers, dealers & flotation companies • New York
E*TRADE FINANCIAL CORPORATION 435,000,000 Shares of Common Stock ($0.01 par value per share) UNDERWRITING AGREEMENTUnderwriting Agreement • June 19th, 2009 • E Trade Financial Corp • Savings institution, federally chartered • New York
EXHIBIT 10.22 [* INDICATES THAT MATERIAL HAS BEEN OMITTED AND CONFIDENTIAL TREATMENT HAS BEEN REQUESTED THEREFOR. ALL SUCH OMITTED MATERIAL HAS BEEN FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO RULE 24b-2.] LICENSE AND...License and Services Agreement • July 31st, 1997 • E Trade Group Inc • Security brokers, dealers & flotation companies
BACKGROUNDEmployment Agreement • February 14th, 2000 • E Trade Group Inc • Security brokers, dealers & flotation companies • California
REGISTRATION RIGHTS AGREEMENT Dated November 10, 2005 between E*TRADE FINANCIAL CORPORATION and MORGAN STANLEY & CO. INCORPORATED andRegistration Rights Agreement • November 15th, 2005 • E Trade Financial Corp • Security brokers, dealers & flotation companies • New York
This REGISTRATION RIGHTS AGREEMENT (the “Agreement”) is made and entered into November 10, 2005, between E*TRADE FINANCIAL CORPORATION, a Delaware corporation (the “Company”), MORGAN STANLEY & CO. INCORPORATED and J.P. MORGAN SECURITIES INC. (the “Initial Purchasers”).
EXHIBIT 10.1 STOCK PURCHASE AGREEMENT This STOCK PURCHASE AGREEMENT (this "Agreement") is made as of July 9, 1998, by and between E*TRADE Group, Inc., a Delaware corporation ("Seller"), and SOFTBANK Holdings Inc., a Delaware corporation ("Buyer")....Stock Purchase Agreement • July 17th, 1998 • E Trade Group Inc • Security brokers, dealers & flotation companies
E*TRADE Financial Corporation as Issuer AND The Bank of New York, as Trustee Subordinated Indenture Dated as of November 22, 2005Subordinated Indenture • March 3rd, 2006 • E Trade Financial Corp • Security brokers, dealers & flotation companies • New York
THIS INDENTURE, dated as of November 22, 2005 between E*TRADE Financial Corporation, a Delaware corporation (the “Issuer”), and The Bank of New York, a New York banking corporation, as trustee (the “Trustee”),
E*TRADE FINANCIAL CORPORATION and The Bank of New York, as Purchase Contract Agent, and The Bank of New York, as Collateral Agent, Custodial Agent and Securities Intermediary PURCHASE CONTRACT AND PLEDGE AGREEMENT Dated as of November 22, 2005Purchase Contract and Pledge Agreement • March 3rd, 2006 • E Trade Financial Corp • Security brokers, dealers & flotation companies • New York
PURCHASE CONTRACT AND PLEDGE AGREEMENT, dated as of November 22, 2005, among E*TRADE Financial Corporation, a Delaware corporation (the “Company”), The Bank of New York, a New York banking corporation, acting as purchase contract agent for, and as attorney-in-fact of, the Holders from time to time of the Units (in such capacities, together with its successors and assigns in such capacities, the “Purchase Contract Agent”), and The Bank of New York, as collateral agent hereunder for the benefit of the Company (in such capacity, together with its successors in such capacity, the “Collateral Agent”), as custodial agent (in such capacity, together with its successors in such capacity, the “Custodial Agent”), and as securities intermediary (as defined in Section 8-102(a)(14) of the UCC) with respect to the Collateral Account (in such capacity, together with its successors in such capacity, the “Securities Intermediary”).
EXHIBIT 99.2 FORM OF CONFLUENT, INC. STOCK OPTION AGREEMENT CONFLUENT, INC. 1997 EQUITY INCENTIVE PLAN STOCK OPTION AGREEMENT This Stock Option Agreement ("Agreement") is made and entered into as of the date of grant set forth below (the "Date of...Stock Option Agreement • August 28th, 2000 • E Trade Group Inc • Security brokers, dealers & flotation companies • California
REGISTRATION RIGHTS AGREEMENT By and Between WINGATE CAPITAL LTD. and E*TRADE FINANCIAL CORPORATIONRegistration Rights Agreement • December 4th, 2007 • E Trade Financial Corp • Savings institution, federally chartered • New York
