0001052100-21-000025.txt : 20210312 0001052100-21-000025.hdr.sgml : 20210312 20210312173612 ACCESSION NUMBER: 0001052100-21-000025 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210310 FILED AS OF DATE: 20210312 DATE AS OF CHANGE: 20210312 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DALEY MICHAEL JOHN CENTRAL INDEX KEY: 0001673647 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13913 FILM NUMBER: 21738741 MAIL ADDRESS: STREET 1: 6300 LAMAR AVENUE CITY: OVERLAND PARK STATE: KS ZIP: 66202 FORMER NAME: FORMER CONFORMED NAME: Daley Michael John DATE OF NAME CHANGE: 20160503 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 2021-03-10 0001052100 WADDELL & REED FINANCIAL INC WDR 0001673647 DALEY MICHAEL JOHN 6300 LAMAR AVENUE OVERLAND PARK KS 66202 0 1 0 0 VP - Chief Acct Off,IR & Treas Class A Common 2021-03-10 4 F 0 343 25.02 D 7821 D Class A Common 2021-03-10 4 F 0 2726 A 10547 D Class A Common 2021-03-10 4 D 0 2726 25.02 D 7821 D Restricted Stock Units 2021-03-10 4 M 0 2726 D 2021-03-10 2021-03-10 Class A Common 2726 8178 D Restricted Stock Units 2021-03-10 4 A 0 2047 0 A Class A Common 2047 2047 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 date immediately preceding the vesting date of one share of Issuer's Class A Common Stock. Each restricted stock unit represents a contingent right to receive, at Issuer's sole discretion, (i) a cash payment equal to the fair market value on the date immediately preceding the vesting date of one share of Issuer's Class A Common Stock or (ii) one share of Issuer's Class A Common Stock; provided, that, in the event of a Change of Control, each restricted stock unit shall be settled by cash payment. Restricted stock units will vest in 1/4 increments beginning on the first anniversary of the grant date. /s/ Michael J. Daley 2021-03-12