0001071334-16-000004.txt : 20160105 0001071334-16-000004.hdr.sgml : 20160105 20160105174621 ACCESSION NUMBER: 0001071334-16-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151231 FILED AS OF DATE: 20160105 DATE AS OF CHANGE: 20160105 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: 001-13913 FILM NUMBER: 161324097 MAIL ADDRESS: STREET 1: 6300 LAMAR AVENUE CITY: OVERLAND PARK STATE: KS ZIP: 66202 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2015-12-31 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 2015-12-31 4 F 0 27095 28.66 D 329575 I Personal Trust Class A Common 2015-12-31 4 A 0 70000 0 A 70248 D Class A Common 2015-12-31 5 G 0 70000 0 D 248 D Class A Common 2015-12-31 5 G 0 70000 0 A 399575 I Personal Trust Class A Common 58563 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 2016-01-05