-----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, A83y0arynNpZqawMn0/qsEnJtt4vh/lU0l27VXb7cjhOXQ1TZgYIzFWUapVert88 4+WcGZInq2e7D3zR06U6qw== 0001113436-09-000014.txt : 20090602 0001113436-09-000014.hdr.sgml : 20090602 20090602165612 ACCESSION NUMBER: 0001113436-09-000014 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090529 FILED AS OF DATE: 20090602 DATE AS OF CHANGE: 20090602 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: 09868920 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 2009-05-29 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 2009-05-29 4 M 0 52862 16.8333 A 1044243 I Personal Trust Class A Common 2009-05-29 4 S 0 100 24.01 D 1044143 I Personal Trust Class A Common 2009-05-29 4 S 0 1400 24.02 D 1042743 I Personal Trust Class A Common 2009-05-29 4 S 0 3228 24.03 D 1039515 I Personal Trust Class A Common 2009-05-29 4 S 0 300 24.035 D 1039215 I Personal Trust Class A Common 2009-05-29 4 S 0 700 24.04 D 1038515 I Personal Trust Class A Common 2009-05-29 4 S 0 400 24.05 D 1038115 I Personal Trust Class A Common 2009-05-29 4 S 0 100 24.06 D 1038015 I Personal Trust Class A Common 2009-05-29 4 S 0 300 24.08 D 1037715 I Personal Trust Class A Common 2009-05-29 4 S 0 800 24.09 D 1036915 I Personal Trust Class A Common 2009-05-29 4 S 0 100 24.095 D 1036815 I Personal Trust Class A Common 2009-05-29 4 S 0 300 24.10 D 1036515 I Personal Trust Class A Common 2009-05-29 4 S 0 1000 24.11 D 1035515 I Personal Trust Class A Common 2009-05-29 4 S 0 1500 24.12 D 1034015 I Personal Trust Class A Common 2009-05-29 4 S 0 700 24.13 D 1033315 I Personal Trust Class A Common 2009-05-29 4 S 0 1110 24.14 D 1032205 I Personal Trust Class A Common 2009-05-29 4 S 0 100 24.145 D 1032105 I Personal Trust Class A Common 2009-05-29 4 S 0 4200 24.15 D 1027905 I Personal Trust Class A Common 2009-05-29 4 S 0 600 24.155 D 1027305 I Personal Trust Class A Common 2009-05-29 4 S 0 4727 24.16 D 1022578 I Personal Trust Class A Common 2009-05-29 4 S 0 400 24.165 D 1022178 I Personal Trust Class A Common 2009-05-29 4 S 0 200 24.167 D 1021978 I Personal Trust Class A Common 2009-05-29 4 S 0 4584 24.17 D 1017394 I Personal Trust Class A Common 2009-05-29 4 S 0 500 24.175 D 1016894 I Personal Trust Class A Common 2009-05-29 4 S 0 4407 24.18 D 1012487 I Personal Trust Class A Common 2009-05-29 4 S 0 300 24.185 D 1012187 I Personal Trust Class A Common 2009-05-29 4 S 0 3603 24.19 D 1008584 I Personal Trust Class A Common 2009-05-29 4 S 0 400 24.195 D 1008184 I Personal Trust Class A Common 2009-05-29 4 S 0 2897 24.20 D 1005287 I Personal Trust Class A Common 2009-05-29 4 S 0 200 24.205 D 1005087 I Personal Trust NQSO (Right to Buy) 16.8333 2009-05-29 4 M 0 52862 0 D 2002-12-10 2010-12-09 Class A Common 52862 0 I Personal Trust These shares are held in trust for the benefit of Mr. Herrmann, who is the sole trustee of this trust. 4,304 options became exerciseable on December 10, 2003, 8,093 options became exercisable on December 10, 2004 and 40,465 options became exercisable on April 25, 2005. Following the above reported transaction, Mr. Herrmann owns, in the aggregate, a remaining 77,732 options outstanding with various exercise prices and grant, vesting and expiration dates. 1 of 2 Form 4 Reports being filed to report transactions on May 29, 2009. Henry J. Herrmann 2009-06-02 -----END PRIVACY-ENHANCED MESSAGE-----