SEC Form 4 · accession 0001052100-19-000019
WADDELL & REED FINANCIAL INC · WDR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shawn M. Mihal
Officer — SVP - Broker-Dealer
Period of report
Jan 10, 2019
Accepted (ET)
Jan 11, 2019 · 5:40 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001052100
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common | Jan 10, 2019 | F | 1,539 | $17.77 | D | 59,925 | D | |
| Class A CommonF1,F2 | Jan 10, 2019 | M | 4,443 | — | A | 64,368 | D | |
| Class A CommonF1 | Jan 10, 2019 | D | 4,443 | $17.77 | D | 59,925 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2 | — | Jan 10, 2019 | M | 1,623 | D | Jan 10, 2019 | Jan 10, 2019 | Class A Common | 1,623 | 3,245 | D |
| Restricted Stock UnitsF2 | — | Jan 10, 2019 | M | 2,820 | D | Jan 10, 2019 | Jan 10, 2019 | Class A Common | 2,820 | 8,457 | D |
Explanation of responses
- F1Vesting of cash-settled restricted stock units is reported as a deemed acquisition and disposition of the number of shares of Class A Common Stock underlying the vested restricted stock units.
- F2Each restricted stock unit represents a contingent right to a cash payment equal to the fair market value on the vesting date of one share of Issuer's Class A Common Stock.