Filing Details
- Accession Number:
- 0001190805-10-000007
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-12-03 11:40:31
- Reporting Period:
- 2010-12-01
- Filing Date:
- 2010-12-03
- Accepted Time:
- 2010-12-03 11:40:31
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1052100 | Waddell & Reed Financial Inc | WDR | Security Brokers, Dealers & Flotation Companies (6211) | 510261715 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1190805 | L William Rogers | 6300 Lamar Avenue Overland Park KS 66202 | Yes | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Class A Common | Acquisiton | 2010-12-01 | 13,998 | $17.67 | 86,261 | No | 4 | M | Direct | |
Class A Common | Disposition | 2010-12-01 | 13,998 | $31.92 | 72,263 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Class A Common | NQSO (Right to Buy) | Disposition | 2010-12-01 | 13,998 | $0.00 | 13,998 | $17.67 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2005-04-25 | 2011-01-02 | No | 4 | M | Direct |
Footnotes
- The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.88 to $31.98, inclusive. The reporting person undertakes to provide to Waddell & Reed Financial, Inc. ("WDR"), any stockholder of WDR or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- 1,400 options vested on each of January 3, 2001, 2002, 2003, 2004 and 2005 and the remaining 6,998 options vested on April 25, 2005.