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