0001113436-12-000002.txt : 20120104 0001113436-12-000002.hdr.sgml : 20120104 20120104171139 ACCESSION NUMBER: 0001113436-12-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120104 DATE AS OF CHANGE: 20120104 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: 12507308 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 X0304 4 2011-12-31 0001052100 WADDELL & REED FINANCIAL INC WDR 0001113436 HERRMANN HENRY J 6300 LAMAR AVENUE OVERLAND PARK KS 66202 1 1 0 1 Chief Executive Officer Chairman of the Board Class A Common 2011-12-31 4 F 0 24317 24.77 D 933173 I Personal Trust Class A Common 2011-12-31 4 A 0 100000 0 A 100000 D Class A Common 2011-12-31 5 G 0 100000 0 D 0 D Class A Common 2011-12-31 5 G 0 100000 0 A 1033173 I Personal Trust Class A Common 31500 I Spouse's Trust Transfer of shares to trust for estate planning purposes. These shares are held in trust for the benefit of Mr. Herrmann, who is the sole trustee of this trust. These shares are held in trust for the benefit of Mrs. Herrmann, who is the sole trustee of this trust. Henry J. Herrmann 2012-01-04