-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, PKV4jcAcXYsJ7jk6lATpA3UGdkUnPVqexGJX9+CK50hc2QL9zUMifJJfogdDobK9 4beW9KuHjbhPTPRQ77/Bpg== 0000912057-01-003810.txt : 20010205 0000912057-01-003810.hdr.sgml : 20010205 ACCESSION NUMBER: 0000912057-01-003810 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010201 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WADDELL & REED FINANCIAL INC CENTRAL INDEX KEY: 0001052100 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 510261715 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-54561 FILM NUMBER: 1521238 BUSINESS ADDRESS: STREET 1: 6300 LAMAR AVE STREET 2: P O BOX 29217 CITY: OVERLAND PARK STATE: KS ZIP: 66202-4200 BUSINESS PHONE: 9132362000 MAIL ADDRESS: STREET 1: P O BOX 29217 STREET 2: 6300 LAMAR AVE CITY: OVERLAND PARK STATE: KS ZIP: 66202-4200 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TUCKER KEITH A CENTRAL INDEX KEY: 0001077794 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 6300 LAMAR AVE CITY: OVERLAND PARK STATE: KS ZIP: 66202 BUSINESS PHONE: 9132362000 MAIL ADDRESS: STREET 1: 6300 LAMAR AVE CITY: OVERLAND PARK STATE: KS ZIP: 66202 SC 13G/A 1 a2036878zsc13ga.txt SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 AMENDMENT NO. 2* WADDELL & REED FINANCIAL, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 930059100 (CUSIP Number) DECEMBER 31, 2000 (Date of Event Which Requires Filing of this Statement) CHECK THE APPROPRIATE BOX TO DESIGNATE THE RULE PURSUANT TO WHICH THIS SCHEDULE IS FILED: [ ] RULE 13d-1(b) [X] RULE 13d-1(c) [ ] RULE 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 930059100 13G 1. NAME OF REPORTING PERSON (S.S. or I.R.S. Identification No. of Above Person) Keith A. Tucker 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [ ] (b) [ ] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION: U.S.A. NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5. SOLE VOTING POWER 2,746,971 (See Item 4) 6. SHARED VOTING POWER 0 7. SOLE DISPOSITIVE POWER 2,746,971 (See Item 4) 8. SHARED DISPOSITIVE POWER 0 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 2,746,971 (See Item 4) 10. CHECK IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES: [ ] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9: 6.1* 12. TYPE OF PERSON REPORTING: IN - -------------------- * Based on the total number of Class A Common Stock outstanding on September 30, 2000 (the date of the Issuer's most recent Form 10-Q on file with the Securities and Exchange Commission). ITEM 1(a): NAME OF ISSUER: Waddell & Reed Financial, Inc. ITEM 1(b): ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 6300 Lamar Avenue Overland Park, KS 66201 ITEM 2(a): NAME OF PERSON FILING: Keith A. Tucker ITEM 2(b): ADDRESS OF PRINCIPAL BUSINESS OFFICE: 6300 Lamar Avenue Overland Park, KS 66201 ITEM 2(c): CITIZENSHIP: U.S.A. ITEM 2(d): TITLE OF CLASS OF SECURITIES: Class A Common Stock ITEM 2(e): CUSIP NUMBER: 930059100 ITEM 3: IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b), OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: Not Applicable. ITEM 4: OWNERSHIP The securities reported on herein are beneficially owned indirectly by Mr. Tucker in a personal trust, in a personal corporation or in his children's trust. (a) Amount beneficially owned: 2,746,971 (b) Percent of class: 6.1 * (c) Number of shares as to which the person has: - -------------------- * Based on the total number of Class A Common Stock outstanding on September 30, 2000 (the date of the Issuer's most recent Form 10-Q on file with the Securities and Exchange Commission). (i) Sole voting power to vote or to direct the vote: 2,746,971 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 2,746,971 (iv) Shared power to dispose or to direct the disposition of: 0 ITEM 5: OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following: [ ] ITEM 6: OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: Not Applicable. ITEM 7: IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: Not Applicable. ITEM 8: IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: Not Applicable. ITEM 9: NOTICE OF DISSOLUTION OF GROUP: Not Applicable. ITEM 10: CERTIFICATION: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: January 30, 2001 /s/ Keith A. Tucker Keith A. Tucker -----END PRIVACY-ENHANCED MESSAGE-----