SEC Form 4 · accession 0001113436-18-000002
WADDELL & REED FINANCIAL INC · WDR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Henry J Herrmann
Director · Other
Period of report
Dec 31, 2017
Accepted (ET)
Jan 3, 2018 · 6:30 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 28, 2017 | G | 15,000 | $0.00 | D | 1,007,821 | I | Personal Trust |
| Class A CommonF1 | Dec 31, 2017 | F | 33,646 | $22.34 | D | 974,175 | I | Personal Trust |
| Class A CommonF2 | holding | — | — | — | 39,151 | I | Spouse's Trust | |
| Class A CommonF3 | holding | — | — | — | 38,505 | I | Child 1 Trust | |
| Class A CommonF3 | holding | — | — | — | 38,505 | I | Child 2 Trust | |
| Class A CommonF3 | holding | — | — | — | 38,505 | I | Child 3 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. Herrmann, who is the sole trustee of this trust.
- F2These shares are held in trust for the benefit of Mrs. Herrmann, who is the sole trustee of this trust.
- F3These 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.