SEC Form 4 · accession 0001113435-18-000006
WADDELL & REED FINANCIAL INC · WDR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael F Morrissey
Director
Period of report
Jan 2, 2018
Accepted (ET)
Jan 3, 2018 · 6:32 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 2, 2018 | A | 5,734 | $0.00 | A | 5,734 | D | |
| Class A Common | Jan 2, 2018 | G | 5,734 | $0.00 | D | 0 | D | |
| Class A CommonF2 | Jan 2, 2018 | G | 5,734 | $0.00 | A | 37,761 | I | Personal Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Transfer of shares for estate planning purposes.
- F2These shares are held in trust for the benefit of Mr. Morrissey; Mr. Morrissey is the sole trustee of the trust.