0001071334-12-000002.txt : 20120104 0001071334-12-000002.hdr.sgml : 20120104 20120104172552 ACCESSION NUMBER: 0001071334-12-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120104 DATE AS OF CHANGE: 20120104 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: 001-13913 FILM NUMBER: 12507521 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 X0304 4 2011-12-31 0001052100 WADDELL & REED FINANCIAL INC WDR 0001071334 BUTCH THOMAS W 6300 LAMAR AVENUE OVERLAND PARK KS 66202 0 1 0 0 EVP & Chief Marketing Officer Class A Common 2011-12-31 4 F 0 27771 24.77 D 262683 I Personal Trust Class A Common 2011-12-31 4 A 0 70000 0 A 70248 D Class A Common 2011-12-31 5 G 0 70000 0 D 248 D Class A Common 2011-12-31 5 G 0 70000 0 A 332683 I Personal Trust Class A Common 66063 I Spouse's Trust Class A Common 1254.5683 I 401(k) Units Transfer of shares to trust for estate planning purposes. 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. Thomas W. Butch 2012-01-04