-----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, Q2siyQ7BmamZtiU/vHyvX46pmRuDx0Yh2NFIeXnzmlPRIJ1aUyqRngjQor65rMlK rDi2ZYBJSjULF9l2kEimXw== 0001113436-08-000004.txt : 20080221 0001113436-08-000004.hdr.sgml : 20080221 20080221164942 ACCESSION NUMBER: 0001113436-08-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080219 FILED AS OF DATE: 20080221 DATE AS OF CHANGE: 20080221 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: HERRMANN HENRY J CENTRAL INDEX KEY: 0001113436 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 333-43687 FILM NUMBER: 08633455 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 2008-02-19 0001052100 WADDELL & REED FINANCIAL INC WDR 0001113436 HERRMANN HENRY J 6300 LAMAR AVENUE OVERLAND PARK KS 66202 1 1 0 0 Chief Executive Officer Class A Common 2008-02-19 4 M 0 61550 14.625 A 1114133 I Personal Trust Class A Common 2008-02-19 4 M 0 53871 18.00 A 1168004 I " Class A Common 2008-02-19 4 S 0 200 31.45 D 1167804 I " Class A Common 2008-02-19 4 S 0 100 31.46 D 1167704 I " Class A Common 2008-02-19 4 S 0 300 31.47 D 1167404 I " Class A Common 2008-02-19 4 S 0 1200 31.475 D 1166204 I " Class A Common 2008-02-19 4 S 0 1700 31.48 D 1164504 I " Class A Common 2008-02-19 4 S 0 1900 31.49 D 1162604 I " Class A Common 2008-02-19 4 S 0 12600 31.50 D 1150004 I " Class A Common 2008-02-19 4 S 0 1800 31.51 D 1148204 I " Class A Common 2008-02-19 4 S 0 2600 31.52 D 1145604 I " Class A Common 2008-02-19 4 S 0 500 31.53 D 1145104 I " Class A Common 2008-02-19 4 S 0 800 31.54 D 1144304 I " Class A Common 2008-02-19 4 S 0 3000 31.55 D 1141304 I " Class A Common 2008-02-19 4 S 0 1100 31.56 D 1140204 I " Class A Common 2008-02-19 4 S 0 2735 31.57 D 1137469 I " Class A Common 2008-02-19 4 S 0 1300 31.58 D 1136169 I " Class A Common 2008-02-19 4 S 0 2800 31.59 D 1133369 I " Class A Common 2008-02-19 4 S 0 12065 31.60 D 1121304 I " Class A Common 2008-02-19 4 S 0 1200 31.61 D 1120104 I " Class A Common 2008-02-19 4 S 0 1100 31.62 D 1119004 I " Class A Common 2008-02-19 4 S 0 400 31.63 D 1118604 I " Class A Common 2008-02-19 4 S 0 2400 31.64 D 1116204 I " Class A Common 2008-02-19 4 S 0 2500 31.65 D 1113704 I " Class A Common 2008-02-19 4 S 0 700 31.66 D 1113004 I " Class A Common 2008-02-19 4 S 0 600 31.67 D 1112404 I " Class A Common 2008-02-19 4 S 0 700 31.69 D 1111704 I " Class A Common 2008-02-19 4 S 0 900 31.70 D 1110804 I " Class A Common 2008-02-19 4 S 0 300 31.72 D 1110504 I " Class A Common 2008-02-19 4 S 0 200 31.74 D 1110304 I " NQSO (Right to Buy) 14.625 2008-02-19 4 M 0 61550 0 D 2002-12-16 2008-12-17 Class A Common 61550 0 I Personal Trust NQSO (Right to Buy) 18.00 2008-02-19 4 M 0 53871 0 D 2003-02-01 2008-12-17 Class A Common 53871 0 I Personal Trust Following the transactions reported herein, Mr. Herrmann's Trust holds, in the aggregate, 431,047 options outstanding with various exercise prices and grant, vesting and expiration dates. This is the 1st of 3 Form 4s being filed to report transactions on February 19, 2008. Henry J. Herrmann 2008-02-20 -----END PRIVACY-ENHANCED MESSAGE-----