0001052100-20-000019.txt : 20200114 0001052100-20-000019.hdr.sgml : 20200114 20200114174134 ACCESSION NUMBER: 0001052100-20-000019 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200110 FILED AS OF DATE: 20200114 DATE AS OF CHANGE: 20200114 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rackers Christopher W. CENTRAL INDEX KEY: 0001762511 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13913 FILM NUMBER: 20526784 MAIL ADDRESS: STREET 1: 6300 LAMAR AVENUE CITY: OVERLAND PARK STATE: KS ZIP: 66202 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: WADDELL & REED FINANCIAL INC CENTRAL INDEX KEY: 0001052100 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 510261715 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 6300 LAMAR AVE CITY: OVERLAND PARK STATE: KS ZIP: 66202-4200 BUSINESS PHONE: 9132362000 MAIL ADDRESS: STREET 1: PO BOX 29217 CITY: SHAWNEE MISSION STATE: KS ZIP: 66201-9217 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2020-01-10 0001052100 WADDELL & REED FINANCIAL INC WDR 0001762511 Rackers Christopher W. 6300 LAMAR AVENUE OVERLAND PARK KS 66202 0 1 0 0 SVP and Chief Admin Officer Class A Common 2020-01-10 4 F 0 683 16.56 D 32154 D Class A Common 2020-01-10 4 M 0 1974 A 34128 D Class A Common 2020-01-10 4 D 0 1974 16.56 D 32154 D Restricted Stock Units 2020-01-10 4 M 0 1974 D 2020-01-10 2020-01-10 Class A Common 1974 3946 D The reporting person surrendered these shares to satisfy tax withholding obligations resulting from the vesting of shares of restricted stock. Vesting of cash-settled restricted stock units is reported as a deemed acquisition and disposition of the number of shares of Class A Common Stock underlying the vested restricted stock units. Each restricted stock unit represents a contingent right to a cash payment equal to the fair market value on the vesting date of one share of Issuer's Class A Common Stock. /s/ Christopher W. Rackers 2020-01-14