-----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, IL0u8z2CwImSqYYsVtsU9yCtSSFlcD3TvccHYHdJHBzyKAnqIFjUan0e6vkyjGbd ZGlRP6COPWhIsfJrLBB0ow== 0001209191-10-059500.txt : 20101209 0001209191-10-059500.hdr.sgml : 20101209 20101209200523 ACCESSION NUMBER: 0001209191-10-059500 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101114 FILED AS OF DATE: 20101209 DATE AS OF CHANGE: 20101209 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RICKETTS J JOE CENTRAL INDEX KEY: 0001053120 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-49992 FILM NUMBER: 101243501 MAIL ADDRESS: STREET 1: C/O AMERITRADE HOLDING CORP STREET 2: 4211 SOUTH 102ND ST CITY: OMAHA STATE: NE ZIP: 68127 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TD AMERITRADE HOLDING CORP CENTRAL INDEX KEY: 0001173431 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 820543156 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 4211 SOUTH 102ND STREET CITY: OMAHA STATE: NE ZIP: 68127 BUSINESS PHONE: 4023317856 MAIL ADDRESS: STREET 1: 4211 SOUTH 102ND STREET CITY: OMAHA STATE: NE ZIP: 68127 FORMER COMPANY: FORMER CONFORMED NAME: AMERITRADE HOLDING CORP DATE OF NAME CHANGE: 20020917 FORMER COMPANY: FORMER CONFORMED NAME: ARROW STOCK HOLDING CORP DATE OF NAME CHANGE: 20020514 4 1 c09456_4x0.xml MAIN DOCUMENT DESCRIPTION X0303 4 2010-11-14 0001173431 TD AMERITRADE HOLDING CORP AMTD 0001053120 RICKETTS J JOE C/O HUGO LLC, 1395 S. PLATTE RIVER DRIVE DENVER CO 80223 1 0 1 0 Common Stock 2010-11-14 4 M 0 31222 0 A 54701539 D Common Stock 2010-12-07 4 S 0 85277 18.55 D 54616262 D Common Stock 2010-12-08 4 S 0 617464 18.54 D 53998798 D Common Stock 2010-12-09 4 S 0 96934 18.55 D 53901864 D Common Stock 14441835 I By Spouse Restricted Stock Units 2010-11-14 4 M 0 31222 0 D 2010-11-14 Common Stock 31222 0 D Reflects shares received upon the vesting of restricted stock units granted to Mr. Ricketts pursuant to Rule 16b-3. Reflects the aggregate amount of shares sold by Mr. Ricketts on December 7, 2010 under a written trading plan adopted pursuant to Rule 10b5-1. Reflects the weighted average sale price per share for Mr. Ricketts' transactions on December 7, 2010. The price per share for such transactions ranged from $18.50 to $18.61. Full information regarding the number of shares sold at each separate price will be provided to the United States Securities and Exchange Commission, the Issuer or a security holder of the Issuer upon a request for such information. Reflects the aggregate amount of shares sold by Mr. Ricketts on December 8, 2010 under a written trading plan adopted pursuant to Rule 10b5-1. Reflects the weighted average sale price per share for Mr. Ricketts' transactions on December 8, 2010. The price per share for such transactions ranged from $18.50 to $18.60. Full information regarding the number of shares sold at each separate price will be provided to the United States Securities and Exchange Commission, the Issuer or a security holder of the Issuer upon a request for such information. Reflects the aggregate amount of shares sold by Mr. Ricketts on December 9, 2010 under a written trading plan adopted pursuant to Rule 10b5-1. Reflects the weighted average sale price per share for Mr. Ricketts' transactions on December 9, 2010. The price per share for such transactions ranged from $18.50 to $18.61 Full information regarding the number of shares sold at each separate price will be provided to the United States Securities and Exchange Commission, the Issuer or a security holder of the Issuer upon a request for such information. Vesting of restricted stock units granted to Mr. Ricketts pursuant to Rule 16b-3. Restricted stock units became fully vested on November 14, 2010. The restricted stock units were granted to Mr. Ricketts pursuant to Rule 16b-3. /s/ J. Joe Ricketts 2010-12-09 -----END PRIVACY-ENHANCED MESSAGE-----