0001052100-21-000019.txt : 20210112 0001052100-21-000019.hdr.sgml : 20210112 20210112180735 ACCESSION NUMBER: 0001052100-21-000019 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210110 FILED AS OF DATE: 20210112 DATE AS OF CHANGE: 20210112 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mihal Shawn M. CENTRAL INDEX KEY: 0001762366 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13913 FILM NUMBER: 21524448 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 2021-01-10 0001052100 WADDELL & REED FINANCIAL INC WDR 0001762366 Mihal Shawn M. 6300 LAMAR AVENUE OVERLAND PARK KS 66202 0 1 0 0 SVP - Wealth Management Class A Common 2021-01-10 4 F 0 1538 25.03 D 89578 D Class A Common 2021-01-10 4 M 0 4441 A 94019 D Class A Common 2021-01-10 4 D 0 4441 25.03 D 89578 D Restricted Stock Units 2021-01-10 4 M 0 1622 D 2021-01-10 2021-01-10 Class A Common 1622 0 D Restricted Stock Units 2021-01-10 4 M 0 2819 D 2021-01-10 2021-01-10 Class A Common 2819 2819 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/ Shawn M. Mihal 2021-01-11