eTrade 2009 Annual Report Download - page 176

EXHIBIT INDEX
Exhibit
Number Description
3.1 Restated Certificate of Incorporation of E*TRADE Financial Corporation as currently in effect.
(Incorporated by reference to Exhibit 3.1 of the Company’s Current Report on Form 8-K filed
September 14, 2009.)
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, filed August 25, 2000.)
3.3 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.)
3.4 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, Exhibit 3.2 to the Company’s Current Report on Form
8-K filed May 22, 2008 and Exhibit 3.1 to the Company’s Current Report on Form 8-K filed June 10,
2009.)
4.1 Specimen of Common Stock Certificate (Incorporated by reference to Exhibit 4.1 of Amendment No. 1
to the Company’s Registration Statement on Form S-1, Registration Statement No. 333-05525, filed
July 22, 1996.)
4.2 Indenture dated June 8, 2004, between E*TRADE Financial Corporation and The Bank of New York,
as Trustee, relating to the 2011 Notes (includes form of note) (Incorporated by reference to Exhibit 4 of
the Company’s Registration Statement on Form S-4, Registration Statement No. 333-117080, filed on
July 1, 2004.)
4.3 First Supplemental Indenture dated September 19, 2005, between the Company and The Bank of New
York, as Trustee, relating to the 2011 Notes (Incorporated by reference to Exhibit 4.1 of the
Company’s Form 10-Q filed November 1, 2005.)
*4.4 Second Supplemental Indenture dated November 1, 2006, between the Company and The Bank of New
York, as Trustee, relating to the 2011 Notes
4.5 Third Supplemental Indenture dated as of July 9, 2009, between E*TRADE Financial Corporation and
The Bank of New York Mellon, as Trustee, relating to the 2011 Notes (Incorporated by reference to
Exhibit 4.1 of the Company’s Current Report on Form 8-K filed on July 9, 2009.)
4.6 Indenture dated September 19, 2005, between the Company and The Bank of New York, as Trustee,
relating to the 2013 Notes (includes form of note) (Incorporated by reference to Exhibit 4.2 of the
Company’s Form 10-Q filed November 1, 2005.)
4.7 First Supplemental Indenture dated November 10, 2005, between E*TRADE Financial Corporation
and The Bank of New York, as Trustee, relating to the 2013 Notes (Incorporated by reference to
Exhibit 4.1 of the Company’s Current Report on Form 8-K filed on November 15, 2005.)
*4.8 Second Supplemental Indenture dated November 1, 2006, between the Company and The Bank of New
York, as Trustee, relating to the 2013 Notes
4.9 Indenture dated November 22, 2005, between E*TRADE Financial Corporation and The Bank of New
York, as Trustee, relating to the 2015 Notes (includes form of note) (Incorporated by reference to
Exhibit 4.15 of the Company’s Form 10-K filed March 1, 2006.)
*4.10 First Supplemental Indenture dated November 1, 2006, between the Company and The Bank of New
York, as Trustee, relating to the 2015 Notes
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