-----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, Ig4N7Brw48rFjArzKteaF1KIg0oQSXYiGfKmtBx0m6QFiqOv7useal+QayCqqSTC vtKFj9bx85YoxA2d8974XA== 0001077794-03-000002.txt : 20030805 0001077794-03-000002.hdr.sgml : 20030805 20030805131521 ACCESSION NUMBER: 0001077794-03-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030801 FILED AS OF DATE: 20030805 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: TUCKER KEITH A CENTRAL INDEX KEY: 0001077794 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 333-43687 FILM NUMBER: 03823104 BUSINESS ADDRESS: STREET 1: 6300 LAMAR AVE CITY: OVERLAND PARK STATE: KS ZIP: 66202 BUSINESS PHONE: 9132362000 MAIL ADDRESS: STREET 1: 6300 LAMAR AVE CITY: OVERLAND PARK STATE: KS ZIP: 66202 4 1 edgar.xml PRIMARY DOCUMENT X0201 42003-08-01 0001052100 WADDELL & REED FINANCIAL INC WDR 0001077794 TUCKER KEITH A 6300 LAMAR AVENUE OVERLAND PARK KS 66202 0100Chairman and CEOClass A Common2003-08-014F02575825.43D1638530IPersonal CorporationClass A Common2003-08-014M0511218.2751A1689651IPersonal CorporationClass A Common2003-08-014F06600125.43D1623650IPersonal CorporationClass A Common2003-08-014M09600014.625A1719650IPersonal CorporationClass A Common2003-08-014F01399125.43D1705659IPersonal CorporationClass A Common2003-08-014M01976015.3333A1725419IPersonal CorporationClass A Common2003-08-014F06220825.43D1663211IPersonal CorporationClass A Common2003-08-014M08279216.8333A1746003IPersonal CorporationClass A Common2003-08-014F022891925.43D1517084IPersonal CorporationClass A Common2003-08-014M029156618.00A1808650IPersonal CorporationClass A Common2003-08-045G0722840D0DClass A Common2003-08-045G0722840A72284IFamily PartnershipClass A Common35400IIRAClass A Common27042.381I401(k)NQSO (Right to Buy)8.27512003-08-014M0511210D1999-01-312008-01-30Class A Common51121204484ILiving TrustNQSO (Right to Buy)14.6252003-08-014M0139500D1999-12-162009-12-15Class A Common1395083700ILiving TrustNQSO (Right to Buy)14.6252003-08-014M0820500D2000-12-16 2008-12-17Class A Common820500ILiving TrustNQSO (Right to Buy)15.33332003-08-014M019760< transactionPricePerShare>0D1999-03-042009-03-03Class A Common1976098800ILiving TrustNQSO (Right to Buy)16.8333200 3-08-014M0720000D2001-12-102009-12-11Class A Common7200072000I Living TrustNQSO (Right to Buy)16.83332003-08-014M0107920D2000-12-102010-12-09Class A Common1079275537ILiving TrustNQSO (Right to Buy)18.002003-08-014M0120800D2003-02-01 2009-12-15Class A Common120800ILiving TrustNQSO (Right to Buy)18.002003-08-014M0176670D2003-02-012009-03-03Class A Common176670ILiving TrustNQSO (Right to Buy)18.002003-08-014M0710430D2003-02-012008-12-17Class A Common710430ILiving T rustNQSO (Right to Buy)18.002003-08-014M0102930D2003-02-012010-12-09Class A Common102930ILiving TrustNQSO (Right to Buy)18.002003-08-014M0686620D2003-02-012009-12-11Class A Common686620ILiving TrustNQSO (Right to Buy)18.002003-08-014M0804610D2003-02-012008-03-05Class A Common804610ILiving TrustNQSO (Right to Buy)18.002003-08-014M0313600D2003-02-012008-01-30Class A Common313600ILiving TrustNQSO (Right to Buy)25.432003-08-014A0257580A2004-02-012008-01-30Class A Common2575825758ILiving TrustNQSO (Right to Buy)25.432003-08-014A095910A2004-02-012009-12-15Class A Common95919591ILiving TrustNQSO (Right to Buy)25.432003-08-014A0564100A2004-02-012008-12-17Class A Common5641056410ILiving TrustNQSO (Right to Buy)25.432003-08-014A0139910A2004-02-012009-03-03Class A Common1399113991ILiving TrustNQSO (Right to Buy)25.432003-08-014A0540990A2004-02-012009-12-11Class A Common54099 54009ILiving TrustNQSO (Right to Buy)25.432003-08-014A081090A2004-02-012010-12-09Class A Common81098109ILiving TrustNQSO (Right to Buy)25.432003-08-014A094850A2004-02-012009-12-15Class A Common94859485ILiving TrustNQSO (Right to Buy)25.432003-08-014A0138720A2004-02-012009-03-03Class A Common1387213872ILiving TrustNQSO (Right to Buy)25.432003-08-014A0557780A2004-02-012008-12-17Class A Common5577855778ILiving TrustNQSO (Right to Buy)25.432003-08-014A080820A2004-02-012010-12-09Class A Common80828082ILiving TrustNQSO (Right to Buy)25.432003-08-014A0539080 A2004-02-012009-12-11Class A Common5390853908ILiving TrustNQSO (Right to Buy)25.432003-08-014A0631720A2004-02-012008-03-05Class A Common6317263172ILiving TrustNQSO (Right to Buy)25.432003-08-014A0246220A2004-02-012008-01-30Class A Common2462224622ILiving TrustTransfer of shares to family limited partnership of which Mr. Tucker is the sole general partner.Mr. Tucker disclaims beneficial ownership of Company stock held by family partnership except to the extent of his pecuniary interest therein.Units (which include stock and cash reserves) representing Mr. Tucker's interest in the Company's 401(k) Plan stock fund.Vests 10% per year beginning on first anniversary of grant date.Vests in 1/3 increments beginning on second anniversary of grant date.Following the above reported transactions, Mr. Tucker owns, in the aggregate, a remaining 2,531, 935 options outstanding with various exercise prices and grant, vesting and expiration dates.Keith A. Tucker2003-08-05 -----END PRIVACY-ENHANCED MESSAGE-----