eTrade 2009 Annual Report Download - page 177

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
*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
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
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 E*TRADE Financial Sweep Deposit Account Brokerage and Servicing Agreement, dated September
12, 2003, by and between E*TRADE Bank and E*TRADE Clearing LLC. (Incorporated by reference
to Exhibit 10.1 of the Company’s Form 10-Q filed on November 7, 2003.)
10.4 Code of Professional Conduct (Incorporated by reference to Exhibit 99.1 of the Company’s Form 8-K
filed on October 24, 2008).
10.5 2005 Equity Incentive Plan and Forms of Award Agreements (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.)
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