eTrade 2011 Annual Report Download - page 172

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Exhibit
Number Description
4.10 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.)
4.11 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.)
4.12 Fourth Supplemental Indenture dated June 15, 2011, among the Company, the guaranteeing
subsidiaries party thereto and The Bank of New York Mellon Trust Company, N.A., as Trustee,
relating to the 2017 Notes (Incorporated by reference to Exhibit 4.4 of the Company’s Form 10-Q
filed on August 4, 2011.)
4.13 Indenture dated 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.)
4.14 Third Supplemental Indenture dated June 15, 2011, among the Company, the guaranteeing
subsidiaries party thereto and The Bank of New York Mellon Trust Company, N.A., as Trustee,
relating to the 2019 Debentures (Incorporated by reference to Exhibit 4.5 of the Company’s Form
10-Q filed on August 4, 2011.)
+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.
+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 14, 2010.)
+10.5 Forms of Award Agreements for Amended 2005 Equity Incentive Plan (Incorporated by
reference to Exhibit 10.66 to the Company’s Current Report on Form 8-K filed on May 31, 2005.)
+10.6 Executive Bonus Plan (Incorporated by reference to Exhibit 10.67 to the Company’s Current
Report on Form 8-K filed on May 31, 2005.)
10.7 Master Investment and Securities Purchase Agreement, dated November 29, 2007 by and
between E*TRADE Financial Corporation and Wingate Capital Ltd. (Incorporated by reference
to Exhibit 10.1 of the Company’s Current Report on Form 8-K filed on December 4, 2007.)
10.8 First Amendment to Master Investment and Securities Purchase Agreement, dated as of
December 12, 2007, by and between Wingate Capital Ltd. and E*TRADE Financial Corporation
(Incorporated by reference to Exhibit 99.5 of the Schedule 13D filed by Citadel Limited
Partnership et al with respect to E*TRADE Financial Corporation on December 7, 2007.)
10.9 Second Amendment to Master Investment and Securities Purchase Agreement, dated as of
January 18, 2008, by and between Wingate Capital Ltd. and E*TRADE Financial Corporation
(Incorporated by reference to Exhibit 99.12 of the Amendment No. 1 to Schedule 13D filed by
Citadel Limited Partnership et al with respect to E*TRADE Financial Corporation on January 18,
2008.)
169