0001071334-17-000004.txt : 20171113
0001071334-17-000004.hdr.sgml : 20171110
20171113171329
ACCESSION NUMBER: 0001071334-17-000004
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171109
FILED AS OF DATE: 20171113
DATE AS OF CHANGE: 20171113
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: 171197046
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
2017-11-09
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
2017-11-09
4
S
0
5000
19.256
D
467809
I
Personal Trust
Class A Common
2017-11-10
4
S
0
35000
19.2217
D
432809
I
Personal Trust
Class A Common
248
D
Class A Common
58563
I
Spouse's Trust
Class A Common
0
I
401(k) Units
The price reported is a weighted average price. These shares were sold in mutiple transactions ranging from $19.25 to $19.27, inclusive. The reporting person undertakes to provide to Waddell & Reed Financial, Inc. ("WDR"), any stockholder of WDR or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Footnote 1.
The price reported is a weighted average price. These shares were sold in mutiple transactions ranging from $19.22 to $19.225, inclusive. The reporting person undertakes to provide to WDR, any stockholder of WDR or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Footnote 2.
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.
The 1254.5683 Units (which include Class A common stock and cash reserves) representing Mr. Butch's interest in the Company 401(k) Plan previoulsy reported as beneficially owned by Mr. Butch have been liquated.
Thomas W. Butch
2017-11-13