0001193125-16-667590.txt : 20160802 0001193125-16-667590.hdr.sgml : 20160802 20160802083132 ACCESSION NUMBER: 0001193125-16-667590 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20160728 ITEM INFORMATION: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20160802 DATE AS OF CHANGE: 20160802 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TD AMERITRADE HOLDING CORP CENTRAL INDEX KEY: 0001173431 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 820543156 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-35509 FILM NUMBER: 161799043 BUSINESS ADDRESS: STREET 1: 200 SOUTH 108TH AVENUE CITY: OMAHA STATE: NE ZIP: 68154 BUSINESS PHONE: 4023317856 MAIL ADDRESS: STREET 1: 200 SOUTH 108TH AVENUE CITY: OMAHA STATE: NE ZIP: 68154 FORMER COMPANY: FORMER CONFORMED NAME: AMERITRADE HOLDING CORP DATE OF NAME CHANGE: 20020917 FORMER COMPANY: FORMER CONFORMED NAME: ARROW STOCK HOLDING CORP DATE OF NAME CHANGE: 20020514 8-K 1 d233860d8k.htm FORM 8-K Form 8-K

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

 

FORM 8-K

 

 

Current Report

Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): July 28, 2016

 

 

TD Ameritrade Holding Corporation

(Exact name of registrant as specified in its charter)

 

 

 

    Delaware   1-35509   82-0543156    
 

(State or other jurisdiction

of incorporation)

  

(Commission

File Number)

  

(I.R.S. Employer

Identification Number)

  

 

200 South 108th Avenue

Omaha, Nebraska

   68154
(Address of principal executive offices)   (Zip Code)

Registrant’s telephone number, including area code: (402) 331-7856

(Former name or former address, if changed since last report)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 

Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

Marvin W. Adams, the chief operating officer of TD Ameritrade Holding Corporation, has resigned, effective December 1, 2016. Until December 1, 2016, Mr. Adams will serve as a special advisor to Tim Hockey. TD Ameritrade has reorganized its reporting structure by eliminating the position of chief operating officer.

In connection with his resignation and in accordance with the terms of his restricted stock unit (“RSU”) award agreements as previously granted, which have a current market value of approximately $7.5 million, Mr. Adams will be entitled to receive accelerated vesting of all unvested RSUs on December 1, 2016. He will also receive continued payment of monthly rental allowance until April 2017 and continued health benefits pursuant to COBRA continuation coverage for Mr. Adams and any eligible dependents, with TD Ameritrade paying the employer portion of any premiums for continued health benefits under any group medical or dental plan until six months following his resignation.

TD Ameritrade and Mr. Adams will enter into customary agreements covering non-competition, non-solicitation, mutual non-disparagement and confidentiality, as well as a standard release in favor of TD Ameritrade.

 

Item 9.01 Financial Statements and Exhibits.

(d) Exhibits.

 

Exhibit No.

   

Exhibit

99.1    Press Release dated August 2, 2016

 

2

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

    TD AMERITRADE HOLDING CORPORATION
Date: August 2, 2016     By:   /s/ Ellen L.S. Koplow
     

Name:

Title:

  

Ellen L.S. Koplow

Executive Vice President, General Counsel

 EX-99.1 2 d233860dex991.htm EX-99.1 EX-99.1

Exhibit 99.1

 

LOGO

 

At the Company  
Kim Hillyer   Jeff Goeser
Director, Communications   Director, Investor Relations and Finance
(402) 206-1014   (402) 597-8464
kim.hillyer@tdameritrade.com   jeffrey.goeser@tdameritrade.com

TD Ameritrade Announces Changes to its Leadership Structure

OMAHA, Neb., Aug. 2, 2016 – TD Ameritrade Holding Corporation (Nasdaq: AMTD) today announced that Marv Adams has decided to resign from his position as executive vice president and chief operating officer (COO). He will serve in an advisory capacity for the next several months, reporting to Tim Hockey, TD Ameritrade president and CEO-elect, before leaving the company on Dec. 1, 2016.

The company has chosen to not replace Adams and will instead streamline its organizational structure to better align with its future strategic goals and objectives. In doing so, it is eliminating the COO position and realigning departments within existing business units.

“Since he joined TD Ameritrade in 2011, Marv Adams has helped create a culture of continuous improvement, making us more agile and simplifying the way we work,” Hockey said. “He has strengthened the stability and capacity of our systems and enhanced operational efficiency. We are grateful to him for all that he’s done for our employees, and for TD Ameritrade, and we wish him the best in his next endeavors.”

Source: TD Ameritrade Holding Corporation

About TD Ameritrade Holding Corporation

Millions of investors and independent registered investment advisors (RIAs) have turned to TD Ameritrade’s (Nasdaq: AMTD) technology, people and education to help make investing and trading easier to understand and do. Online or over the phone. In a branch or with an independent RIA. First-timer or sophisticated trader. Our clients want to take control, and we help them decide how - bringing Wall Street to Main Street for more than 40 years. An official sponsor of the 2016 U.S. Olympic Team, as well as an official sponsor of the National Football League, TD Ameritrade has time and again been recognized as a leader in investment services. Please visit TD Ameritrade’s newsroom or www.amtd.com for more information, or read our stories at http://freshaccounts.amtd.com.

Brokerage services provided by TD Ameritrade, Inc., member FINRA (www.FINRA.org) /SIPC (www.SIPC.org).

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