0001071334-13-000004.txt : 20130814 0001071334-13-000004.hdr.sgml : 20130814 20130814175735 ACCESSION NUMBER: 0001071334-13-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130813 FILED AS OF DATE: 20130814 DATE AS OF CHANGE: 20130814 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 6300 LAMAR AVE CITY: OVERLAND PARK STATE: KS ZIP: 66202-4200 BUSINESS PHONE: 9132362000 MAIL ADDRESS: STREET 1: PO BOX 29217 CITY: SHAWNEE MISSION STATE: KS ZIP: 66201-9217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BUTCH THOMAS W CENTRAL INDEX KEY: 0001071334 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13913 FILM NUMBER: 131039448 MAIL ADDRESS: STREET 1: 6300 LAMAR AVENUE CITY: OVERLAND PARK STATE: KS ZIP: 66202 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-08-13 0001052100 WADDELL & REED FINANCIAL INC WDR 0001071334 BUTCH THOMAS W 6300 LAMAR AVENUE OVERLAND PARK KS 66202 0 1 0 0 EVP & Chief Marketing Officer Class A Common 2013-08-13 4 S 0 10000 51.0603 D 362011 I Personal Trust Class A Common 2013-08-13 4 S 0 7500 51.1267 D 58563 I Spouse's Trust Class A Common 248 D Class A Common 1254.5683 I 401(k) Units The price reported is a weighted average price. These shares were sold in multiple transactions ranging from $51.02 to $51.13, 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. The price reported is a weighted average price. These shares were sold in multiple transactions ranging from $51.111 to $51.17, inclusive. The reporting person undertakes to provide to 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 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. Units (which include Class A common stock and cash reserves) representing Mr. Butch's interest in the Company 401(k) Plan unitized stock fund. Thomas W. Butch 2013-08-14