0001209191-12-057894.txt : 20121214
0001209191-12-057894.hdr.sgml : 20121214
20121214182711
ACCESSION NUMBER: 0001209191-12-057894
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121212
FILED AS OF DATE: 20121214
DATE AS OF CHANGE: 20121214
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: 001-35509
FILM NUMBER: 121266893
MAIL ADDRESS:
STREET 1: AMERITRADE HOLDING CORP
STREET 2: 4211 S 102ND ST
CITY: OMAHA
STATE: NE
ZIP: 68127
4
1
c30756_4x0.xml
MAIN DOCUMENT DESCRIPTION
X0306
4
2012-12-12
0001173431
TD AMERITRADE HOLDING CORP
AMTD
0001187586
MOGLIA JOSEPH H
4211 SOUTH 102ND ST.
OMAHA
NE
68127
1
0
0
0
Common Stock
2012-12-12
4
M
0
542520
3.90
A
638675
D
Common Stock
2012-12-12
4
S
0
300000
16.49
D
338675
D
Common Stock
523434
I
By annuity trusts
Common Stock
2012-12-13
4
M
0
712480
3.90
A
1051155
D
Common Stock
2012-12-13
4
S
0
394037
16.49
D
657118
D
Common Stock
523434
I
By annuity trusts
Employee Stock Option (right to buy)
3.90
2012-12-12
4
M
0
542520
0
D
2013-03-01
Common Stock
542520
3712480
D
Employee Stock Option (right to buy)
3.90
2012-12-13
4
M
0
712480
0
D
2013-03-01
Common Stock
712480
3000000
D
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 $16.40 to $16.59. 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 $16.33 to $16.59. 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.
Shares are held by annuity trusts, for which Mr. Moglia is the grantor and a beneficiary.
The option vested daily from the date of grant over 731 days.
/s/ David L. Lambert, as attorney-in-fact for Joseph H. Moglia
2012-12-14