SEC Form 4 · accession 0001071334-17-000002
WADDELL & REED FINANCIAL INC · WDR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas W Butch
Officer — EVP & Chief Marketing Officer
Period of report
Dec 31, 2016
Accepted (ET)
Jan 4, 2017 · 4:20 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 | Dec 31, 2016 | F | 21,266 | $19.51 | D | 378,309 | I | Personal Trust |
| Class A Common | Dec 31, 2016 | A | 94,500 | $0.00 | A | 94,748 | D | |
| Class A Common | Dec 31, 2016 | G | 94,500 | $0.00 | D | 248 | D | |
| Class A CommonF2 | Dec 31, 2016 | G | 94,500 | $0.00 | A | 472,809 | I | Personal Trust |
| Class A CommonF3 | holding | — | — | — | 58,563 | I | Spouse's Trust | |
| Class A CommonF4 | holding | — | — | — | 1,255 | I | 401(k) Units |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Transfer of shares to trust for estate planning purposes.
- F2These shares are held in trust for the benefit of Mr. Butch's spouse and children; Mr. Butch is the sole trustee of this trust.
- F3These shares are held in trust for the benefit of Mr. Butch's spouse and children; Mrs. Butch is the sole trustee of this trust.
- F4Units (which include Class A common stock and cash reserves) representing Mr. Butch's interest in the Company 401(k) Plan unitized stock fund.