eTrade 2011 Annual Report Download - page 171

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 (Incorporated by reference to Exhibit 3.1 to the
Company’s Current Report on Form 8-K filed May 14, 2010.)
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 November 22, 2005, between E*TRADE Financial Corporation and The Bank of
New York, as Trustee, relating to the 2015 Notes (includes form of note) (Incorporated by
reference to Exhibit 4.15 of the Company’s Form 10-K filed March 1, 2006.)
4.3 First Supplemental Indenture dated November 1, 2006, between the Company and The Bank of
New York, as Trustee, relating to the 2015 Notes (Incorporated by reference to Exhibit 4.10 of
the Company’s Form 10-K filed February 24, 2010.)
4.4 Second Supplemental Indenture dated June 15, 2011, among the Company, the Guaranteeing
Subsidiaries Party Hereto and The Bank of New York Mellon Trust Company, N.A., as Trustee,
relating to the 2015 Notes (Incorporated by reference to Exhibit 4.3 of the Company’s Form 10-Q
filed August 4, 2011.)
4.5 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.)
4.6 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.)
4.7 Security Agreement dated June 15, 2011, among the Company, the subsidiary grantors party
thereto and The Bank of New York Mellon, as Collateral Trustee, relating to the 2016 Notes
(Incorporated by reference to Exhibit 4.1 of the Company’s Form 10-Q filed on August 4, 2011.)
4.8 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.)
4.9 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.)
168