Filing Details
- Accession Number:
- 0001209191-12-052128
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-11-07 16:30:41
- Reporting Period:
- 2012-11-05
- Filing Date:
- 2012-11-07
- Accepted Time:
- 2012-11-07 16:30:41
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1173431 | Td Ameritrade Holding Corp | AMTD | Security Brokers, Dealers & Flotation Companies (6211) | 820543156 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1187593 | Peter J Ricketts | 4211 South 102Nd Street Omaha NE 68127 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2012-08-20 | 325 | $0.00 | 552,346 | No | 5 | G | Direct | |
| Common Stock | Disposition | 2012-09-05 | 5,700 | $0.00 | 546,646 | No | 5 | G | Direct | |
| Common Stock | Disposition | 2012-09-06 | 600 | $0.00 | 546,046 | No | 5 | G | Direct | |
| Common Stock | Disposition | 2012-09-10 | 575 | $0.00 | 545,471 | No | 5 | G | Direct | |
| Common Stock | Disposition | 2012-11-01 | 5,850 | $0.00 | 539,621 | No | 5 | G | Direct | |
| Common Stock | Disposition | 2012-11-05 | 2,000 | $0.00 | 537,621 | No | 5 | G | Direct | |
| Common Stock | Disposition | 2012-11-05 | 7,500 | $16.32 | 530,121 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2012-11-06 | 7,500 | $16.41 | 522,621 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | G | Direct | |
| No | 5 | G | Direct | |
| No | 5 | G | Direct | |
| No | 5 | G | Direct | |
| No | 5 | G | Direct | |
| No | 5 | G | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 183,073 | Indirect | By annuity trusts |
| Common Stock | 105,300 | Indirect | By his children |
Footnotes
- Reflecting a corrected balance properly showing a gift of 1,100 shares made and timely reported in December 2009.
- This price represents the weighted average sales price for multiple transactions reported on this line. The prices of the transactions reported on this line ranged from $16.41 to $16.42. Upon request by the SEC staff, the issuer or a security holder of the issuer, the reporting person will undertake to provide full information regarding the number of shares and prices at which transactions were effected.
- Shares are held by annuity trusts, for which Mr. Ricketts is the grantor and a beneficiary.
- Shares are held by trusts created for Mr. Ricketts' children.
Billionaire Hedge Funds
