0001209191-12-052128.txt : 20121107 0001209191-12-052128.hdr.sgml : 20121107 20121107163041 ACCESSION NUMBER: 0001209191-12-052128 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121105 FILED AS OF DATE: 20121107 DATE AS OF CHANGE: 20121107 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: RICKETTS J PETER CENTRAL INDEX KEY: 0001187593 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35509 FILM NUMBER: 121187184 MAIL ADDRESS: STREET 1: AMERITRADE HOLDING CORP STREET 2: 4211 S 102ND ST CITY: OMAHA STATE: NE ZIP: 68127 4 1 c30370_4x0.xml MAIN DOCUMENT DESCRIPTION X0306 4 2012-11-05 0001173431 TD AMERITRADE HOLDING CORP AMTD 0001187593 RICKETTS J PETER 4211 SOUTH 102ND STREET OMAHA NE 68127 1 0 0 0 Common Stock 2012-08-20 5 G 0 E 325 0 D 552346 D Common Stock 2012-09-05 5 G 0 E 5700 0 D 546646 D Common Stock 2012-09-06 5 G 0 E 600 0 D 546046 D Common Stock 2012-09-10 5 G 0 E 575 0 D 545471 D Common Stock 2012-11-01 5 G 0 E 5850 0 D 539621 D Common Stock 2012-11-05 5 G 0 E 2000 0 D 537621 D Common Stock 2012-11-05 4 S 0 7500 16.32 D 530121 D Common Stock 2012-11-06 4 S 0 7500 16.41 D 522621 D Common Stock 183073 I By annuity trusts Common Stock 105300 I By his children Reflecting a corrected balance properly showing a gift of 1,100 shares made and timely reported in December 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 $16.41 to $16.42. 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. Ricketts is the grantor and a beneficiary. Shares are held by trusts created for Mr. Ricketts' children. /s/ Brenna O'Connor as attorney-in-fact for J. Peter Ricketts 2012-11-07