Filing Details
- Accession Number:
- 0001071334-14-000004
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-05-21 17:11:43
- Reporting Period:
- 2014-05-20
- Filing Date:
- 2014-05-21
- Accepted Time:
- 2014-05-21 17:11:43
- 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 |
---|---|---|---|---|---|---|---|
1071334 | W Thomas Butch | 6300 Lamar Avenue Overland Park KS 66202 | Evp & Chief Marketing Officer | No | Yes | 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 | Disposition | 2014-05-20 | 17,217 | $59.02 | 344,338 | No | 4 | S | Indirect | Personal Trust |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | Personal Trust |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Class A Common | 248 | Direct | |
Class A Common | 58,563 | Indirect | Spouse's Trust |
Class A Common | 1,255 | Indirect | 401(k) Units |
Footnotes
- The price reported is a weighted average price. These shares were sold in multiple transactions ranging from $59.00 to $59.12, 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 set forth in this Footnote 1.
- These shares are held in trust for the benefit of Mr. Butch's spouse and children; Mr. Butch is the sole trustee of this trust.
- These shares are held in trust for the benefit of Mr. Butch's spouse and children; Mrs. Butch is the sole trustee of this trust.
- Units (which include Class A common stock and cash reserves) representing Mr. Butch's interest in the Company 401(k) Plan unitized stock fund.