0001113436-16-000004.txt : 20160105 0001113436-16-000004.hdr.sgml : 20160105 20160105174859 ACCESSION NUMBER: 0001113436-16-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151231 FILED AS OF DATE: 20160105 DATE AS OF CHANGE: 20160105 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: 001-13913 FILM NUMBER: 161324120 MAIL ADDRESS: STREET 1: 6300 LAMAR AVENUE CITY: OVERLAND PARK STATE: KS ZIP: 66202 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2015-12-31 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 2015-05-20 5 G 0 1000 0 D 1013188 I Personal Trust Class A Common 2015-12-23 5 G 0 5000 0 D 1008188 I Personal Trust Class A Common 2015-12-24 5 G 0 5000 0 D 1003188 I Personal Trust Class A Common 2015-12-31 4 F 0 38707 28.66 D 964481 I Personal Trust Class A Common 2015-12-31 4 A 0 100000 0 A 100000 D Class A Common 2015-12-31 5 G 0 100000 0 D 0 D Class A Common 2015-12-31 5 G 0 100000 0 A 1064481 I Personal Trust Class A Common 39151 I Spouse's Trust Class A Common 38505 I Child 1 Trust Class A Common 38505 I Child 2 Trust Class A Common 38505 I Child 3 Trust Transfer of shares 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. These shares are held in trust for the benefit of Mr. Herrmann's child and that child's descendents; Mr. Herrmann is the sole trustee of this trust. Henry J. Herrmann 2016-01-05