0001113433-12-000006.txt : 20121226 0001113433-12-000006.hdr.sgml : 20121226 20121226172551 ACCESSION NUMBER: 0001113433-12-000006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121214 FILED AS OF DATE: 20121226 DATE AS OF CHANGE: 20121226 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: 001-13913 FILM NUMBER: 121285883 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 2012-12-14 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 2012-12-14 4 S 0 19571 33.2502 D 25765 I Personal Trust Class A Common 2012-12-14 4 S 0 11300 33.25 D 12900 I Spouse's Trust Class A Common 2012-12-17 5 G 0 200 0 D 138026 D Class A Common 2012-12-21 5 G 0 125 0 D 137901 D The price reported is a weighted average price. These shares were sold in multiple transactions ranging from $33.25 to $33.26, 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, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Footnote 1. These shares are held in trust for the benefit of Mr. Strohm. Mr. and Mrs. Strohm are co-trustees of the trust. These shares are held in trust for the benefit of Mrs. Strohm. Mr. and Mrs. Strohm are co-trustees of the trust. Michael D. Strohm 2012-12-26