eTrade 2012 Annual Report Download - page 181

Exhibit
Number Description
+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 17, 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.)
10.10 Form of Exchange Agreement (Incorporated by reference to Exhibit 10.1 of the Company’s
Current Report on Form 8-K filed on May 6, 2008.)
10.11 Guarantee and Support Agreement, dated as of July 14, 2008, by E*TRADE Financial
Corporation in favor of The Bank of Nova Scotia (Incorporated by reference to Exhibit 10.1 of
the Company’s Current Report on Form 8-K filed on July 16, 2008).
10.12 Form of Indemnification Agreement for Directors dated July 30, 2008. (Incorporated by reference
to Exhibit 10.2 of the Company’s Form 10-Q filed on August 8, 2008.)
+10.13 Form of Employment Agreement between E*TRADE Financial Corporation and each of
Matthew Audette, Michael Curcio, Greg Framke and Nicholas Utton (Incorporated by reference
to Exhibit 10.21 of the Company’s Form 10-K filed February 24, 2010.)
+10.14 Separation Agreement dated August 9, 2012 by and between E*TRADE Financial Corporation
and Steven J. Freiberg (Incorporated by reference to Exhibit 10.1 of the Company’s Form 10-Q
filed on November 1, 2012.)
*+10.15 Employment Agreement dated January 17, 2013 by and between E*TRADE Financial
Corporation and Paul T. Idzik.
*12.1 Statement of Ratio of Earnings to Fixed Charges.
*14.1 Code of Professional Conduct.
*21.1 Subsidiaries of the Registrant.
*23.1 Consent of Independent Registered Public Accounting Firm.
*31.1 Certification—Section 302 of the Sarbanes-Oxley Act of 2002
*31.2 Certification—Section 302 of the Sarbanes-Oxley Act of 2002
*32.1 Certification—Section 906 of the Sarbanes-Oxley Act of 2002
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