-----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, VYcPzaSnB+XlTNx62x9TV5iqzApJXIbzt/zFRGP3pzkakwcqb8I6G78dmab0k3VU LrzEtLfDXkq39ApohYp1cA== 0001077794-04-000003.txt : 20040817 0001077794-04-000003.hdr.sgml : 20040817 20040817170000 ACCESSION NUMBER: 0001077794-04-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040802 FILED AS OF DATE: 20040817 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: 04982477 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 X0202 4 2004-08-02 0001052100 WADDELL & REED FINANCIAL INC WDR 0001077794 TUCKER KEITH A 6300 LAMAR AVENUE OVERLAND PARK KS 66202 1 1 0 0 Chairman and CEO Class A Common 2004-08-02 4 F 0 29585 19.37 D 1651349 I Personal Corporation Class A Common 2004-08-02 4 M 0 51121 8.2751 A 1702470 I Personal Corporation Class A Common 2004-08-02 4 F 0 11437 19.37 D 1691033 I Personal Corporation Class A Common 2004-08-02 4 M 0 13950 14.625 A 1704983 I Personal Corporation Class A Common 2004-08-02 4 F 0 16733 19.37 D 1688250 I Personal Corporation Class A Common 2004-08-02 4 M 0 19760 15.3333 A 1708010 I Personal Corporation Class A Common 2004-08-02 4 F 0 65066 19.37 D 1642944 I Personal Corporation Class A Common 2004-08-02 4 M 0 72000 16.8333 A 1714944 I Personal Corporation Class A Common 2004-08-02 4 F 0 9752 19.37 D 1705192 I Personal Corporation Class A Common 2004-08-02 4 M 0 10791 16.8333 A 1715983 I Personal Corporation Class A Common 75000 I Personal Trust Class A Common 200000 I Family Partnership Class A Common 35400 I IRA Class A Common 28700.4497 I 401(k) Units NQSO (Right to Buy) 8.2751 2004-08-02 4 M 0 51121 0 D 1998-01-31 2008-01-30 Class A Common 51121 153363 I Personal Trust NQSO (Right to Buy) 14.625 2004-08-02 4 M 0 13950 0 D 1999-12-16 2009-12-15 Class A Common 13950 69750 I Personal Trust NQSO (Right to Buy) 15.3333 2004-08-02 4 M 0 19760 0 D 1999-03-04 2009-03-03 Class A Common 19760 79040 I Personal Trust NQSO (Right to Buy) 16.8333 2004-08-02 4 M 0 72000 0 D 2001-12-10 2009-12-11 Class A Common 72000 0 I Personal Trust NQSO (Right to Buy) 16.8333 2004-08-02 4 M 0 10791 0 D 2000-12-10 2010-12-09 Class A Common 10791 64746 I Personal Trust NQSO (Right to Buy) 19.37 2004-08-02 4 A 0 29585 0 A 2005-02-02 2008-01-30 Class A Common 29585 29585 I Personal Trust NQSO (Right to Buy) 19.37 2004-08-02 4 A 0 11437 0 A 2005-02-02 2009-12-15 Class A Common 11437 11437 I Personal Trust NQSO (Right to Buy) 19.37 2004-08-02 4 A 0 16733 0 A 2005-02-02 2009-03-03 Class A Common 16733 16733 I Personal Trust NQSO (Right to Buy) 19.37 2004-08-02 4 A 0 65066 0 A 2005-02-02 2009-12-11 Class A Common 65066 65066 I Personal Trust NQSO (Right to Buy) 19.37 2004-08-02 4 A 0 9752 0 A 2005-02-02 2010-12-09 Class A Common 9752 9752 I Personal Trust Units (which include stock and cash reserves) representing Mr. Tucker's interest in the Company's 401(k) Plan unitized stock fund as of August 16, 2004. Vests 10% per year beginning on first anniversary of grant date. Vest in 1/3 increments beginning on second anniversary of grant date. Following the above reported transactions, Mr. Tucker owns, in the aggregate, a remaining 2,496,886 options outstanding with various exercise prices and grant, vesting and expiration dates. Keith A. Tucker 2004-08-17 -----END PRIVACY-ENHANCED MESSAGE-----