SEC Form 4 · accession 0001668455-17-000006
WADDELL & REED FINANCIAL INC · WDR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Benjamin R Clouse
Officer — VP and Chief Acct. Officer
Period of report
Apr 2, 2017
Accepted (ET)
Apr 4, 2017 · 4:53 pm EDT
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 | Apr 2, 2017 | F | 739 | $17.00 | D | 14,230 | I | By spouse |
| Class A Common | holding | — | — | — | 25,845 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | holding | — | — | — | — | — | Class A Common Stock | 1,299 | 1,299 | I |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to a cash payment equal to the fair market value on the vesting date of one share of Issuer's Class A Common Stock.
- F2The restricted stock units vest in four equal installments beginning January 10, 2018.