eTrade 2001 Annual Report Download - page 175

Download and view the complete annual report

Please find page 175 of the 2001 eTrade annual report below. You can navigate through the pages in the report by either clicking on the pages listed below, or by using the keyword search tool below to find specific information within the annual report.

Page out of 197

  • 1
  • 2
  • 3
  • 4
  • 5
  • 6
  • 7
  • 8
  • 9
  • 10
  • 11
  • 12
  • 13
  • 14
  • 15
  • 16
  • 17
  • 18
  • 19
  • 20
  • 21
  • 22
  • 23
  • 24
  • 25
  • 26
  • 27
  • 28
  • 29
  • 30
  • 31
  • 32
  • 33
  • 34
  • 35
  • 36
  • 37
  • 38
  • 39
  • 40
  • 41
  • 42
  • 43
  • 44
  • 45
  • 46
  • 47
  • 48
  • 49
  • 50
  • 51
  • 52
  • 53
  • 54
  • 55
  • 56
  • 57
  • 58
  • 59
  • 60
  • 61
  • 62
  • 63
  • 64
  • 65
  • 66
  • 67
  • 68
  • 69
  • 70
  • 71
  • 72
  • 73
  • 74
  • 75
  • 76
  • 77
  • 78
  • 79
  • 80
  • 81
  • 82
  • 83
  • 84
  • 85
  • 86
  • 87
  • 88
  • 89
  • 90
  • 91
  • 92
  • 93
  • 94
  • 95
  • 96
  • 97
  • 98
  • 99
  • 100
  • 101
  • 102
  • 103
  • 104
  • 105
  • 106
  • 107
  • 108
  • 109
  • 110
  • 111
  • 112
  • 113
  • 114
  • 115
  • 116
  • 117
  • 118
  • 119
  • 120
  • 121
  • 122
  • 123
  • 124
  • 125
  • 126
  • 127
  • 128
  • 129
  • 130
  • 131
  • 132
  • 133
  • 134
  • 135
  • 136
  • 137
  • 138
  • 139
  • 140
  • 141
  • 142
  • 143
  • 144
  • 145
  • 146
  • 147
  • 148
  • 149
  • 150
  • 151
  • 152
  • 153
  • 154
  • 155
  • 156
  • 157
  • 158
  • 159
  • 160
  • 161
  • 162
  • 163
  • 164
  • 165
  • 166
  • 167
  • 168
  • 169
  • 170
  • 171
  • 172
  • 173
  • 174
  • 175
  • 176
  • 177
  • 178
  • 179
  • 180
  • 181
  • 182
  • 183
  • 184
  • 185
  • 186
  • 187
  • 188
  • 189
  • 190
  • 191
  • 192
  • 193
  • 194
  • 195
  • 196
  • 197

(b)Reports on Form 8-K
On October 15, 2001, the Company filed a Current Report on Form 8-K to report that it had consummated its previously announced
acquisition of Dempsey & Company LLC.
On December 15, 2001, the Company filed Amendment No. 1 to Current Report on Form 8-K, previously filed on October 15, 2001,
to provide the financial statements and exhibits related to its previously announced consummated acquisition of Dempsey & Company
LLC.
Exhibit
Number Description
2.1 Agreement and Plan of Acquisition and Reorganization as of May 31, 1999 by and among the Registrant, Turbo Acquisition
Corp. and Telebanc Financial Corporation (incorporated by reference to Exhibit 2.1 of the Company’ s Registration
Statement on Form S-4, Registration Statement No.333-91467).
2.2 Merger Agreement made as of June 14, 2000 between the Company, 3045157 Nova Scotia Company, EGI Canada
Corporation, Versus Technologies Inc., Versus Brokerage Services Inc., Versus Brokerage Services (U.S.) Inc. and Fairvest
Securities Corporation (incorporated by reference to Exhibit 2.1 of the Company’ s Registration Statement on Form S-3,
Registration Statement No.333-41628).
2.3 Agreement and Plan of Mergers, Member Interest Purchase Agreement and Reorganization, dated as of August 29, 2001, by
and among the Company, Dempsey LLC and the individuals and entities names therein (Incorporated by reference to Exhibit
99.1 of the Company’ s Current Report on Form 8-K filed on September 19, 2001).
3.1 Fourth Amended and Restated Certificate of Incorporation. (Incorporated by reference to Exhibit 3.1 to the Company’ s
Annual Report on Form 10-K filed November 9, 2000)
3.2 Certificate of Designation of Series A Preferred Stock of the Company (incorporated by reference to Exhibit 4.2 of
Amendment No. 1 to the Company’ s Registration Statement on Form S-3, Registration Statement No. 333-41628).
3.3 Restated Bylaws of the Registrant. (Incorporated by reference to Exhibit 3.3 to the Company’ s Annual Report on Form 10-K
filed November 9, 2000)
3.4 Certificate of Designation of Series B Participating Cumulative Preferred Stock of the Company (Incorporated by reference
to Exhibit 3.1 of the Company’ s Form 10-Q filed August 14, 2001).
4.1 Specimen of Common Stock Certificate (Incorporated by reference to Exhibit 4.1 of the Company’ s Registration Statement
on Form S-1, Registration Statement No. 333-05525.)
4.2 Reference is hereby made to Exhibits 3.1, 3.2 and 3.3.
154
Table of Contents
Exhibit
Number
Description
4.3 Provisions attaching to the Exchangeable Shares of EGI Canada Corporation (incorporated by reference to Exhibit 4.1 of
the Company’ s Registration Statement on Form S-3, Registration Statement No. 333-41628).
4.4 Indenture, dated February 1, 2000, by and between the Company and The Bank of New York. (incorporated by reference
to Exhibit 4.4 of the Company’ s Registration Statement on Form S-3, Registration Statement No. 333-35802).
4.5 Registration Rights Agreement, dated February 1, 2000, by and among the Company, FleetBoston Robertson Stephens
Inc., Hambrecht & Quist LLC and Goldman, Sachs & Co. (incorporated by reference to Exhibit 4.5 of the Company’ s
Registration Statement on Form S-3, Registration Statement No. 333-35802).
2002. EDGAR Online, Inc.