0001052100-21-000030.txt : 20210312 0001052100-21-000030.hdr.sgml : 20210312 20210312174337 ACCESSION NUMBER: 0001052100-21-000030 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: Sanders Philip James CENTRAL INDEX KEY: 0001514232 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13913 FILM NUMBER: 21738825 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 2021-03-10 0001052100 WADDELL & REED FINANCIAL INC WDR 0001514232 Sanders Philip James 6300 LAMAR AVENUE OVERLAND PARK KS 66202 1 1 0 0 CEO Class A Common 2021-03-10 4 F 0 18046 25.02 D 736496 D Restricted Stock Units 2021-03-10 4 A 0 108059 0 A Class A Common 108059 108059 D The reporting person surrendered these shares to satisfy tax withholding obligations resulting from the vesting of shares of restricted 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. The restricted stock units will vest in 1/4 increments beginning on the first anniversary of the grant date. /s/ Philip J. Sanders 2021-03-12