eTrade 2012 Annual Report Download - page 180

PART IV
ITEM 15. EXHIBITS AND FINANCIAL STATEMENT SCHEDULES
(a) The following documents are filed as part of this report:
Consolidated Financial Statements and Financial Statement Schedules
Consolidated Financial Statement Schedules have been omitted because the required information is not
applicable, not material or is provided in the consolidated financial statements or notes thereto.
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 Form 10-Q filed August 4, 2010.)
*3.2 Amended and Restated Bylaws of the Registrant
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 May 19, 2011, between E*TRADE Financial Corporation and The Bank of New
York Mellon Trust Company, N.A. as Trustee, relating to the 2016 Notes (includes form of note)
(Incorporated by reference to Exhibit 4.1 of the Company’s Current Report on Form 8-K filed on
May 19, 2011.)
4.3 First 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 2016 Notes (Incorporated by reference to Exhibit 4.2 of the Company’s Form 10-Q
filed on August 4, 2011.)
4.4 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.)
4.5 Third Supplemental Indenture dated June 15, 2011, among the Company, the guaranteeing
subsidiaries party thereto and The Bank of New York Mellon Trust Company., 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.)
4.6 Senior Indenture dated November 14, 2012 between the Company and The Bank of New York
Mellon Trust Company, N.A., as Trustee (includes form of note) (Incorporated by reference to
Exhibit 4.1 of the Company’s Current Report on Form 8-K filed on November 14, 2012.)
4.7 First Supplemental Indenture dated November 14, 2012 between the Company and The Bank of
New York Mellon Trust Company, N.A., as Trustee, relating to the 6% Senior Notes due 2017
and 6.375% Senior Notes due 2019 (Incorporated by reference to Exhibit 4.2 of the Company’s
Current Report on Form 8-K filed on November 14, 2012.)
+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.)
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