-----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, BR4ARbTVnyhy0E07JNnfklFW8+TOqMJjfdgFa4RugngdrqOykPpmMOPNyyqF25bR Swkk4UgkJpN6gmZgv0AVSQ== 0001113436-09-000006.txt : 20090528 0001113436-09-000006.hdr.sgml : 20090528 20090528202406 ACCESSION NUMBER: 0001113436-09-000006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090527 FILED AS OF DATE: 20090528 DATE AS OF CHANGE: 20090528 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: 001-13913 FILM NUMBER: 09858798 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 X0303 4 2009-05-27 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 2009-05-27 4 M 0 119884 16.8333 A 1111265 I Personal Trust Class A Common 2009-05-27 4 S 0 2500 24.00 D 1108765 I Personal Trust Class A Common 2009-05-27 4 S 0 100 24.007 D 1108665 I Personal Trust Class A Common 2009-05-27 4 S 0 900 24.01 D 1107765 I Personal Trust Class A Common 2009-05-27 4 S 0 100 24.015 D 1107665 I Personal Trust Class A Common 2009-05-27 4 S 0 800 24.02 D 1106865 I Personal Trust Class A Common 2009-05-27 4 S 0 100 24.027 D 1106765 I Personal Trust Class A Common 2009-05-27 4 S 0 100 24.0275 D 1106665 I Personal Trust Class A Common 2009-05-27 4 S 0 2500 24.03 D 1104165 I Personal Trust Class A Common 2009-05-27 4 S 0 400 24.035 D 1103765 I Personal Trust Class A Common 2009-05-27 4 S 0 2000 24.04 D 1101765 I Personal Trust Class A Common 2009-05-27 4 S 0 100 24.042 D 1101665 I Personal Trust Class A Common 2009-05-27 4 S 0 100 24.0425 D 1101565 I Personal Trust Class A Common 2009-05-27 4 S 0 100 24.0475 D 1101465 I Personal Trust Class A Common 2009-05-27 4 S 0 500 24.05 D 1100965 I Personal Trust Class A Common 2009-05-27 4 S 0 300 24.055 D 1100665 I Personal Trust Class A Common 2009-05-27 4 S 0 3000 24.06 D 1097665 I Personal Trust Class A Common 2009-05-27 4 S 0 100 24.065 D 1097565 I Personal Trust Class A Common 2009-05-27 4 S 0 100 24.0675 D 1097465 I Personal Trust Class A Common 2009-05-27 4 S 0 1300 24.07 D 1096165 I Personal Trust Class A Common 2009-05-27 4 S 0 200 24.075 D 1095965 I Personal Trust Class A Common 2009-05-27 4 S 0 200 24.0775 D 1095765 I Personal Trust Class A Common 2009-05-27 4 S 0 700 24.08 D 1095065 I Personal Trust Class A Common 2009-05-27 4 S 0 100 24.0825 D 1094965 I Personal Trust Class A Common 2009-05-27 4 S 0 200 24.085 D 1094765 I Personal Trust Class A Common 2009-05-27 4 S 0 2400 24.09 D 1092365 I Personal Trust Class A Common 2009-05-27 4 S 0 300 24.095 D 1092065 I Personal Trust Class A Common 2009-05-27 4 S 0 200 24.0975 D 1091865 I Personal Trust Class A Common 2009-05-27 4 S 0 2100 24.10 D 1089765 I Personal Trust Class A Common 2009-05-27 4 S 0 200 24.105 D 1089565 I Personal Trust NQSO (Right to Buy) 16.8333 2009-05-27 4 M 0 108000 0 D 2002-12-10 2009-12-11 Class A Common 108000 0 I Personal Trust NQSO (Right to Buy) 16.8333 2009-05-27 4 M 0 11884 0 D 2002-12-10 2010-12-09 Class A Common 11884 52862 I Personal Trust These shares are held in trust for the benefit of Mr. Herrmann, who is the sole trustee of this trust. 54,000 options became exercisable on each of December 10, 2002 and 2003. 8,094 options became exercisable on December 10, 2002 and 3,790 options became exercisable on December 10, 2003. Following the above reported transaction, Mr. Herrmann owns, in the aggregate, a remaining 130,594 options outstanding with various exercise prices and grant, vesting and expiration dates. 1 of 4 Form 4 Reports being filed to report transactions on May 27, 2009. Henry J. Herrmann 2009-05-28 -----END PRIVACY-ENHANCED MESSAGE-----