SEC Form 4 · accession 0001071334-18-000002
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, 2017
Accepted (ET)
Jan 3, 2018 · 6:24 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 CommonF1 | Dec 31, 2017 | F | 33,526 | $22.34 | D | 399,283 | I | Personal Trust |
| Class A Common | holding | — | — | — | 248 | D | ||
| Class A CommonF2 | holding | — | — | — | 58,563 | I | Spouse's Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares are held in trust for the benefit of Mr. Butch's spouse and children; Mr. Butch is the sole trustee of this trust.
- F2These shares are held in trust for the benefit of Mr. Butch's spouse and children; Mrs. Butch is the sole trustee of this trust.