SEC Form 4 · accession 0001113433-15-000004
WADDELL & REED FINANCIAL INC · WDR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael D Strohm
Officer — SVP & Chief Operations Officer
Period of report
Mar 10, 2014
Accepted (ET)
Feb 26, 2015 · 5:42 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 | Mar 10, 2014 | G | 25,311 | $0.00 | D | 125,632 | D | |
| Class A CommonF2 | Mar 10, 2014 | G | 9,545 | $0.00 | A | 9,545 | I | Personal Trust |
| Class A CommonF3 | Mar 10, 2014 | G | 15,766 | $0.00 | A | 15,766 | I | Spouse's Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Transfer of shares to trusts for estate planning purposes.
- F2These shares are held in trust for the benefit of Mr. Strohm. Mr. and Mrs. Strohm are co-trustees of the trust.
- F3These shares are held in trust for the benefit of Mrs. Strohm. Mr. and Mrs. Strohm are co-trustees of the trust.