SEC Form 4 · accession 0001113436-16-000004
WADDELL & REED FINANCIAL INC · WDR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Henry J Herrmann
Officer — Chief Executive Officer · Director · Other
Period of report
Dec 31, 2015
Accepted (ET)
Jan 5, 2016 · 5:48 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 | May 20, 2015 | G | 1,000 | $0.00 | D | 1,013,188 | I | Personal Trust |
| Class A Common | Dec 23, 2015 | G | 5,000 | $0.00 | D | 1,008,188 | I | Personal Trust |
| Class A Common | Dec 24, 2015 | G | 5,000 | $0.00 | D | 1,003,188 | I | Personal Trust |
| Class A Common | Dec 31, 2015 | F | 38,707 | $28.66 | D | 964,481 | I | Personal Trust |
| Class A Common | Dec 31, 2015 | A | 100,000 | $0.00 | A | 100,000 | D | |
| Class A Common | Dec 31, 2015 | G | 100,000 | $0.00 | D | 0 | D | |
| Class A CommonF2 | Dec 31, 2015 | G | 100,000 | $0.00 | A | 1,064,481 | I | Personal Trust |
| Class A CommonF3 | holding | — | — | — | 39,151 | I | Spouse's Trust | |
| Class A CommonF4 | holding | — | — | — | 38,505 | I | Child 1 Trust | |
| Class A CommonF4 | holding | — | — | — | 38,505 | I | Child 2 Trust | |
| Class A CommonF4 | holding | — | — | — | 38,505 | I | Child 3 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. Herrmann, who is the sole trustee of this trust.
- F3These shares are held in trust for the benefit of Mrs. Herrmann, who is the sole trustee of this trust.
- F4These shares are held in trust for the benefit of Mr. Herrmann's child and that child's descendents; Mr. Herrmann is the sole trustee of this trust.