-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, QXG51PUq2mLFlDyTIlvITWVunSkXvfhZWLQJ6YbroOTZqCfwyff8xCJgQEAseGMs psUNSrR15ftmjqGJzfYP6w== 0001071334-08-000006.txt : 20080604 0001071334-08-000006.hdr.sgml : 20080604 20080604175907 ACCESSION NUMBER: 0001071334-08-000006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080603 FILED AS OF DATE: 20080604 DATE AS OF CHANGE: 20080604 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BUTCH THOMAS W CENTRAL INDEX KEY: 0001071334 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 333-43687 FILM NUMBER: 08881482 BUSINESS ADDRESS: BUSINESS PHONE: 9132362013 MAIL ADDRESS: STREET 1: 6300 LAMAR AVENUE CITY: OVERLAND PARK STATE: KS ZIP: 66202 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2008-06-03 0001052100 WADDELL & REED FINANCIAL INC WDR 0001071334 BUTCH THOMAS W 6300 LAMAR AVENUE OVERLAND PARK KS 66202 0 1 0 0 SVP & Chief Marketing Officer Class A Common 2008-06-03 4 M 0 10000 16.8333 A 10248 D Class A Common 2008-06-03 4 M 0 4785 18.00 A 15033 D Class A Common 2008-06-03 4 S 0 100 35.89 D 14933 D Class A Common 2008-06-03 4 S 0 2985 35.90 D 11948 D Class A Common 2008-06-03 4 S 0 2100 35.91 D 9848 D Class A Common 2008-06-03 4 S 0 200 35.93 D 9648 D Class A Common 2008-06-03 4 S 0 300 35.94 D 9348 D Class A Common 2008-06-03 4 S 0 700 35.95 D 8648 D Class A Common 2008-06-03 4 S 0 1395 35.96 D 7253 D Class A Common 2008-06-03 4 S 0 1200 35.97 D 6053 D Class A Common 2008-06-03 4 S 0 705 35.99 D 5348 D Class A Common 2008-06-03 4 S 0 600 36.01 D 4748 D Class A Common 2008-06-03 4 S 0 100 36.02 D 4648 D Class A Common 2008-06-03 4 S 0 1100 36.03 D 3548 D Class A Common 2008-06-03 4 S 0 1300 36.04 D 2248 D Class A Common 2008-06-03 4 S 0 500 36.05 D 1748 D Class A Common 2008-06-03 4 S 0 300 36.055 D 1448 D Class A Common 2008-06-03 4 S 0 400 36.06 D 1048 D Class A Common 2008-06-03 4 S 0 800 36.08 D 248 D Class A Common 165937 I Personal Trust Class A Common 36063 I Spouse's Trust Class A Common 1254.5683 I 401(k) Units NQSO (Right to Buy) 16.8333 2008-06-03 4 M 0 10000 0 D 2002-12-10 2009-12-11 Class A Common 10000 0 D NQSO (Right to Buy) 18.00 2008-06-03 4 M 0 4785 0 D 2003-02-01 2009-12-11 Class A Common 4785 0 D These shares are held in trust for the benefit of Mr. Butch's spouse and children; Mr. Butch is the sole trustee of this trust. These shares are held in trust for the benefit of Mr. Butch's spouse and children; Mrs. Butch is the sole trustee of this trust. Units (which include Class A common stock and cash reserves) representing Mr. Butch's interest in the Company 401(k) Plan unitized stock fund as of June 3, 2008. 5,000 vested and were exercisable on each of 12/10/2002 and 12/10/2003. Thomas W. Butch 2008-06-04 -----END PRIVACY-ENHANCED MESSAGE-----