0001209191-13-002625.txt : 20130108 0001209191-13-002625.hdr.sgml : 20130108 20130108194028 ACCESSION NUMBER: 0001209191-13-002625 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130104 FILED AS OF DATE: 20130108 DATE AS OF CHANGE: 20130108 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: 13519343 MAIL ADDRESS: STREET 1: AMERITRADE HOLDING CORP STREET 2: 4211 S 102ND ST CITY: OMAHA STATE: NE ZIP: 68127 4 1 c31001_4x0.xml MAIN DOCUMENT DESCRIPTION X0306 4 2013-01-04 0001173431 TD AMERITRADE HOLDING CORP AMTD 0001187586 MOGLIA JOSEPH H 4211 SOUTH 102ND ST. OMAHA NE 68127 1 0 0 0 Common Stock 2013-01-04 4 M 0 464679 3.90 A 1121797 D Common Stock 2013-01-04 4 S 0 250000 17.91 D 871797 D Common Stock 523434 I By annuity trusts Common Stock 2013-01-07 4 M 0 456095 3.90 A 1327892 D Common Stock 2013-01-07 4 S 0 250000 18.00 D 1077892 D Common Stock 523434 I By annuity trusts Common Stock 2013-01-08 4 M 0 79226 3.90 A 1157118 D Common Stock 2013-01-08 4 S 0 43470 17.95 D 1113648 D Common Stock 523434 I By annuity trusts Employee Stock Option (right to buy) 3.90 2013-01-04 4 M 0 464679 0 D 2013-03-01 Common Stock 464679 2535321 D Employee Stock Option (right to buy) 3.90 2013-01-07 4 M 0 456095 0 D 2013-03-01 Common Stock 456095 2079226 D Employee Stock Option (right to buy) 3.90 2013-01-08 4 M 0 79226 0 D 2013-03-01 Common Stock 79226 2000000 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 $17.51 to $18.14. 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 $17.87 to $18.11. 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 $17.77 to $18.06. 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. Shows options remaining under the Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2012. As of the commencement of trading under the Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2012, the reporting person beneficially owned options to purchase 3 million shares of common stock of the issuer. /s/ David L. Lambert, as attorney-in-fact for Joseph H. Moglia 2013-01-08