-----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, O4WkdIrnBg7afVVKg0lYipuegjweaaqXlJnjHAgAZJs76ACtdI++wJFSf3x81QQJ VujzM7wO9OnJYbaWoOjDYg== 0001209191-09-058692.txt : 20091224 0001209191-09-058692.hdr.sgml : 20091224 20091224134938 ACCESSION NUMBER: 0001209191-09-058692 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091222 FILED AS OF DATE: 20091224 DATE AS OF CHANGE: 20091224 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MOGLIA JOSEPH H CENTRAL INDEX KEY: 0001187586 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-49992 FILM NUMBER: 091260207 MAIL ADDRESS: STREET 1: AMERITRADE HOLDING CORP STREET 2: 4211 S 102ND ST CITY: OMAHA STATE: NE ZIP: 68127 4 1 c94102_4x0.xml MAIN DOCUMENT DESCRIPTION X0303 4 2009-12-22 0001173431 TD AMERITRADE HOLDING CORP AMTD 0001187586 MOGLIA JOSEPH H 4211 SOUTH 102ND ST. OMAHA NE 68127 1 0 0 0 Common Stock 2009-12-22 4 M 0 8000 3.90 A 727589 D Common Stock 2009-12-22 4 S 0 8000 19.35 D 719589 D Common Stock 2009-12-23 4 M 0 9000 3.90 A 728589 D Common Stock 2009-12-23 4 S 0 9000 19.60 D 719589 D Common Stock 2009-12-24 4 M 0 9000 3.90 A 728589 D Common Stock 2009-12-24 4 S 0 9000 19.44 D 719589 D Common Stock 6683 I By 401k account Employee Stock Option (right to buy) 3.90 2009-12-22 4 M 0 8000 0 D 2013-03-01 Common Stock 8000 1968000 D Employee Stock Option (right to buy) 3.90 2009-12-23 4 M 0 9000 0 D 2013-03-01 Common Stock 9000 1959000 D Employee Stock Option (right to buy) 3.90 2009-12-24 4 M 0 9000 0 D 2013-03-01 Common Stock 9000 1950000 D The sales reported in this Form 4 were effected under a Rule 10b5-1 trading plan adopted by the reporting person on December 4, 2009. This price represents the weighted average sales price for multiple transactions reported on this line. The prices of the transactions reported on this line ranged from $18.97 to $19.53. Upon request by the SEC staff, the issuer or a security holder of the issuer, the reporting person will undertake to provide full information regarding the number of shares and prices at which transactions were effected. This price represents the weighted average sales price for multiple transactions reported on this line. The prices of the transactions reported on this line ranged from $19.48 to $19.72. Upon request by the SEC staff, the issuer or a security holder of the issuer, the reporting person will undertake to provide full information regarding the number of shares and prices at which transactions were effected. This price represents the weighted average sales price for multiple transactions reported on this line. The prices of the transactions reported on this line ranged from $19.40 to $19.50. Upon request by the SEC staff, the issuer or a security holder of the issuer, the reporting person will undertake to provide full information regarding the number of shares and prices at which transactions were effected. The option vested daily from the date of grant over 731 days. Shows options remaining under the Rule 10b5-1 trading plan adopted by the reporting person on December 4, 2009. As of the commencement of trading under the Rule 10b5-1 trading plan adopted by the reporting person on December 4, 2009, the reporting person beneficially owned options to purchase 7 million shares of common stock of the issuer. /s/ Graham Fowler, as attorney-in-fact for Joseph H. Moglia 2009-12-24 -----END PRIVACY-ENHANCED MESSAGE-----