Filing Details
- Accession Number:
- 0001071334-17-000004
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-11-13 17:13:29
- Reporting Period:
- 2017-11-09
- Accepted Time:
- 2017-11-13 17:13:29
- 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 | 2017-11-09 | 5,000 | $19.26 | 467,809 | No | 4 | S | Indirect | Personal Trust |
Class A Common | Disposition | 2017-11-10 | 35,000 | $19.22 | 432,809 | No | 4 | S | Indirect | Personal Trust |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | Personal Trust |
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 | 0 | Indirect | 401(k) Units |
Footnotes
- The price reported is a weighted average price. These shares were sold in mutiple transactions ranging from $19.25 to $19.27, 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 (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Footnote 1.
- The price reported is a weighted average price. These shares were sold in mutiple transactions ranging from $19.22 to $19.225, inclusive. The reporting person undertakes to provide to WDR, any stockholder of WDR or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Footnote 2.
- 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.
- The 1254.5683 Units (which include Class A common stock and cash reserves) representing Mr. Butch's interest in the Company 401(k) Plan previoulsy reported as beneficially owned by Mr. Butch have been liquated.