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