eTrade 2010 Annual Report Download - page 179

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Exhibit
Number Description
4.11 Indenture dated November 29, 2007, between E*TRADE Financial Corporation and The Bank of
New York, as Trustee, relating to the 2017 Notes (includes form of note) (Incorporated by reference
to Exhibit 4.2 of the Company’s Current Report on Form 8-K filed on December 4, 2007.)
4.12 First Supplemental Indenture dated December 27, 2007, between the Company and The Bank of New
York, as Trustee, relating to the 2017 Notes (Incorporated by reference to Exhibit 4.12 of the
Company’s Form 10-K filed February 24, 2010.)
4.13 Second Supplemental Indenture dated January 18, 2008, between the Company and The Bank of
New York, as Trustee, relating to the 2017 Notes (Incorporated by reference to Exhibit 4.13 of the
Company’s Form 10-K filed February 24, 2010.)
4.14 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 2017 Notes (Incorporated by reference
to Exhibit 4.2 of the Company’s Current Report on Form 8-K filed on July 9, 2009.)
4.15 Indenture dated as of August 25, 2009 between E*TRADE Financial Corporation and The Bank of
New York Mellon, as Trustee, relating to the 2019 Debentures (includes form of note) (Incorporated
by reference to Exhibit 4.1 of the Company’s Current Report on Form 8-K filed on August 25, 2009.)
4.16 Rights Agreement dated at July 9, 2001 between E*TRADE Financial Corporation and American
Stock Transfer and Trust Company, as Rights Agent (Incorporated by reference to Exhibit 99.2 to the
Company’s Current Report on Form 8-K filed on July 10, 2001.)
4.17 Second Amendment to Rights Agreement, dated as of June 17, 2009, by and between E*TRADE
Financial Corporation and American Stock Transfer & Trust Company, as rights agent (Incorporated
by reference to Exhibit 4.1 of the Company’s Current Report on Form 8-K filed on June 17, 2009.)
4.18 Third Amendment to Rights Agreement, dated as of June 30, 2009, by and between E*TRADE
Financial Corporation and American Stock Transfer & Trust Company, as Rights Agent
(Incorporated by reference to Exhibit 4.1 of the Company’s Current Report on Form 8-K filed on
June 30, 2009.)
4.19 Fourth Amendment, dated as of September 11, 2009, to Rights Agreement by and among E*TRADE
Financial Corporation and American Transfer and Trust Company (Incorporated by reference to
Exhibit 4.1 of the Company’s Current Report on Form 8-K filed on September 14, 2009.)
4.20 Registration Rights Agreement, dated as of November 29, 2007, by and between Wingate Capital
Ltd. and E*TRADE Financial Corporation (Incorporated by reference to Exhibit 4.1 of the
Company’s Current Report on Form 8-K filed on December 4, 2007.)
+10.1 Executive Deferred Compensation Plan (Incorporated by reference to Exhibit 10.1 of the Company’s
Form 10-K filed February 24, 2010.)
10.2 [redacted] Master Service Agreement and Global Services Schedule, dated April 9, 2003, between
E*TRADE Group, Inc. and ADP Financial Information Services, Inc. (Incorporated by reference to
Exhibit 10.1 of the Company’s Form 10-Q filed on August 8, 2003.)
10.3 Code of Professional Conduct (Incorporated by reference to Exhibit 99.1 of the Company’s
Form 8-K filed on October 24, 2008).
+10.4 Amended 2005 Equity Incentive Plan of E*TRADE Financial Corporation. (Incorporated by
reference to Exhibit 10.1 of the Company’s Current Report on Form 8-K filed on May 5, 2010.)
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