Filing Details
- Accession Number:
- 0001209191-10-038175
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-07-12 13:00:00
- Reporting Period:
- 2010-07-08
- Filing Date:
- 2010-07-12
- Accepted Time:
- 2010-07-12 17:26:50
- 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 |
|---|---|---|---|---|---|---|---|
| 1187586 | H Joseph Moglia | 4211 South 102Nd St. 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 | Acquisiton | 2010-07-08 | 5,000 | $3.90 | 724,589 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-07-08 | 5,000 | $15.21 | 719,589 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2010-07-09 | 5,000 | $3.90 | 724,589 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-07-09 | 5,000 | $15.16 | 719,589 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2010-07-12 | 5,000 | $3.90 | 724,589 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-07-12 | 5,000 | $15.43 | 719,589 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2010-07-08 | 5,000 | $0.00 | 5,000 | $3.90 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2010-07-09 | 5,000 | $0.00 | 5,000 | $3.90 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2010-07-12 | 5,000 | $0.00 | 5,000 | $3.90 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 586,000 | 2013-03-01 | No | 4 | M | Direct | |
| 581,000 | 2013-03-01 | No | 4 | M | Direct | |
| 576,000 | 2013-03-01 | No | 4 | M | Direct |
Footnotes
- The sales reported in this Form 4 were effected under a Rule 10b5-1 trading plan adopted by the reporting person on December 4, 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 $15.03 to $15.54. 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.
- 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 $15.04 to $15.25. 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.
- 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 $15.27 to $15.59. 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.
- The option vested daily from the date of grant over 731 days.
- Shows options remaining under the Rule 10b5-1 trading plan adopted by the reporting person on December 4, 2009. As of the commencement of trading under the Rule 10b5-1 trading plan adopted by the reporting person on December 4, 2009, the reporting person beneficially owned options to purchase 7 million shares of common stock of the issuer.
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