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