-----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, KwAhxXUZAzn27irIx3XNHofM2cadmbM0SrP6jEkLYsgsnW3u6Sv+qHyZmtTKh8+R AbzuH3tr517t9LHz8MtaTg== 0001113433-06-000004.txt : 20060816 0001113433-06-000004.hdr.sgml : 20060816 20060816175121 ACCESSION NUMBER: 0001113433-06-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060815 FILED AS OF DATE: 20060816 DATE AS OF CHANGE: 20060816 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: STROHM MICHAEL D CENTRAL INDEX KEY: 0001113433 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 333-43687 FILM NUMBER: 061039138 BUSINESS ADDRESS: BUSINESS PHONE: 9132362013 MAIL ADDRESS: STREET 1: 6300 LAMAR AVENUE CITY: OVERLAND PARK STATE: KS ZIP: 66202 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2006-08-15 0001052100 WADDELL & REED FINANCIAL INC WDR 0001113433 STROHM MICHAEL D 6300 LAMAR AVENUE OVERLAND PARK KS 66202 0 1 0 0 SVP & Chief Operations Officer Class A Common 2006-08-15 4 M 0 3750 14.625 A 137544 D Class A Common 2006-08-15 4 M 0 17226 15.3333 A 154770 D Class A Common 2006-08-15 4 M 0 1517 16.7615 A 156287 D Class A Common 2006-08-15 4 M 0 45000 16.8333 A 201287 D Class A Common 2006-08-15 4 M 0 16138 18.00 A 217425 D Class A Common 2006-08-15 4 S 0 800 22.07 D 216625 D Class A Common 2006-08-15 4 S 0 700 22.08 D 215925 D Class A Common 2006-08-15 4 S 0 57900 22.09 D 158025 D Class A Common 2006-08-15 4 S 0 20331 22.10 D 137694 D Class A Common 2006-08-15 4 S 0 3400 22.11 D 134294 D Class A Common 2006-08-15 4 S 0 500 22.12 D 133794 D Class A Common 3105.5893 D NQSO (Right to Buy) 14.625 2006-08-15 4 M 0 3750 0 D 2002-12-16 2008-12-17 Class A Common 3750 0 D NQSO (Right to Buy) 15.3333 2006-08-15 4 M 0 17226 0 D 2000-03-04 2008-03-05 Class A Common 17226 0 D NQSO (Right to Buy) 16.7615 2006-08-15 4 M 0 1517 0 D 2000-02-02 2009-08-03 Class A Common 1517 0 D NQSO (Right to Buy) 16.8333 2006-08-15 4 M 0 45000 0 D 2001-12-10 2009-12-11 Class A Common 45000 0 D NQSO (Right to Buy) 18.00 2006-08-15 4 M 0 607 0 D 2003-02-01 2006-12-17 Class A Common 607 0 D NQSO (Right to Buy) 18.00 2006-08-15 4 M 0 1752 0 D 2003-02-01 2007-09-26 Class A Common 1752 0 D NQSO (Right to Buy) 18.00 2006-08-15 4 M 0 7200 0 D 2003-02-01 2008-03-05 Class A Common 7200 0 D NQSO (Right to Buy) 18.00 2006-08-15 4 M 0 6579 0 D 2003-02-01 2008-12-17 Class A Common 6579 0 D Units (which include Class A common stock and cash reserves) representing Mr. Strohm's interest in the Company's 401(k) Plan unitized stock fund as of June 30, 2006. 426 options vested on 3/4/00 and 8,400 options vested on each of 3/4/01 and 3/4/02. Vested in 1/3 increments annually beginning 12/10/2001. Following the above reported transactions, Mr. Strohm no longer owns any options on Company stock. Michael D. Strohm 2006-08-16 -----END PRIVACY-ENHANCED MESSAGE-----