SEC Form 4/A · accession 0001330721-16-000009
WADDELL & REED FINANCIAL INC · WDR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Michael L Avery
Officer — President
Period of report
Dec 31, 2015
Accepted (ET)
Feb 11, 2016 · 6:27 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 | holding | — | — | — | 197,466 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. Avery's beneficial ownership as reported in Column 5 of his ownership report on Form 4 filed on January 5, 2016 did not reflect a transfer of 8,291 shares of common stock of the issuer to Mr. Avery's ex-wife pursuant to a domestic relations order. Column 5 of this amendment to the January 5, 2016 Form 4 reflects Mr. Avery's beneficial ownership after giving effect to the transfer. Mr. Avery no longer reports as beneficially owned any securities owned by his ex-wife.