-----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, FsvI706CqOjyZ0WOLRBlsn8dEKqtRP9S+pR7exUTRclCgwJk6r/LSyNj7H7KTWUm hRmkR31bVcYwKymEB1bdVA== 0000927016-99-003483.txt : 19991021 0000927016-99-003483.hdr.sgml : 19991021 ACCESSION NUMBER: 0000927016-99-003483 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19991020 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 SEC ACT: SEC FILE NUMBER: 005-54561 FILM NUMBER: 99731372 BUSINESS ADDRESS: STREET 1: P O BOX 29217 STREET 2: 6300 LAMAR AVE 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: HIGHFIELDS CAPITAL LTD CENTRAL INDEX KEY: 0001076066 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: GOLDMAN SACHS CAYMAN TRUST STREET 2: PO BOX 896 GT HARBOUR CENTER CITY: NORTH CHURCH STREET STATE: E9 MAIL ADDRESS: STREET 1: GOLDMAN SACHS CAYMAN TRUST LTD STREET 2: HARBOUR CENTRE N CHURCH STREET CITY: GEORGE TOWN GRAND CA SC 13G 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 __________ SCHEDULE 13G INFORMATION STATEMENT PURSUANT TO RULES 13d-1 and 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Waddell & Reed Financial, Inc. ---------------------------------------------------------- (Name of Issuer) Class B Common Stock - Par Value $0.01 ---------------------------------------------------------- (Title of Class of Securities) 930059209 --------------------------------------------------------- (CUSIP Number) October 11, 1999 -------------------------------------------------------- (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) ------------------- ----------------- CUSIP NO. 930059209 13G Page 2 of 6 Pages ------------------- ----------------- - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Highfields Capital Ltd. - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [_] (b) [_] - ------------------------------------------------------------------------------ 3. SEC USE ONLY - ------------------------------------------------------------------------------ 4. CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands - ------------------------------------------------------------------------------ NUMBER OF 5. SOLE VOTING POWER SHARES 1,574,726 ----------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY -0- ----------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING 1,574,726 ----------------------------------------------------------- PERSON WITH 8. SHARED DISPOSITIVE POWER -0- - ------------------------------------------------------------------------------ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,574,726 - ------------------------------------------------------------------------------ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - ------------------------------------------------------------------------------ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.2% - ------------------------------------------------------------------------------ 12. TYPE OF REPORTING PERSON 00 - ------------------------------------------------------------------------------ - ------------------- ----------------- CUSIP No. 930059209 13G Page 3 of 6 Pages - ------------------- ----------------- 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 66202 ------------------------------------------------------------------- Item 2(a). Name of Person Filing: This statement is being filed by Highfields Capital Ltd., a company organized under the laws of the Cayman Islands. Item 2(b). Address of Principal Business Office or, if None, Residence: c/o Goldman Sachs (Cayman) Trust, Limited Harbour Centre, North Church Street P.O. Box 896 George Town, Grand Cayman Cayman Islands ------------------------------------------------------------------- Item 2(c). Citizenship: Cayman Islands ------------------------------------------------------------------- Item 2(d). Title of Class of Securities: Common Stock - Class B (NYSE: WDR B) ------------------------------------------------------------------- Item 2(e). CUSIP Number 930059209 ------------------------------------------------------------------- ------------------- ----------------- CUSIP No. 930059209 13G Page 4 of 6 Pages ------------------- ----------------- Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: (a) [_] Broker or dealer registered under Section 15 of the Exchange Act. (b) [_] Bank as defined in Section 3(a)(6) of the Exchange Act. (c) [_] Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d) [_] Investment company registered under Section 8 of the Investment Company Act. (e) [_] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) [_] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [_] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) [_] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [_] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) [_] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check this box. [X] Item 4. Ownership. If the percent of the class owned, as of December 31 of the year covered by the statement, or as of the last day of any month described in Rule 13d-1 (b)(2), if applicable, exceeds five percent, provide the following information as of that date and identify those shares which there is a right to acquire. (a) Amount beneficially owned: 1,574,726 shares of Class B Common Stock ---------------------------------------- ------------------- ----------------- CUSIP No. 930059209 13G Page 5 of 6 Pages ------------------- ----------------- (b) Percent of class: 5.2% ------------------------------------------------------------- (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote 1,574,726 --------- (ii) Shared power to vote or to direct the vote --0-- -------------- (iii) Sole power to dispose or to direct the disposition of 1,574,726 --------- (iv) Shared power to dispose or to direct the disposition of --0-- --------- Item 5. Ownership of Five Percent or Less of a Class. Not applicable. 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 issue 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. ------------------- ----------------- CUSIP No. 930059209 13G Page 6 of 6 Pages ------------------- ----------------- 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. 19 October 1999 ---------------------------------------- Date HIGHFIELDS CAPITAL LTD. By: /s/ Clive Harris ------------------------------------------------- Signature Clive Harris, Director ------------------------------------------------- Name/Title -----END PRIVACY-ENHANCED MESSAGE-----