SEC Form 5 · accession 0001123292-15-000333
TD AMERITRADE HOLDING CORP · AMTD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Joe Ricketts
Other
Period of report
Sep 30, 2014
Accepted (ET)
Feb 9, 2015 · 5:00 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001173431
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Call Option (obligation to sell | $30.4739 | Apr 11, 2014 | E | 1 | D | Apr 11, 2014 | Apr 11, 2014 | Common Stock | 3,000,000 | 0 | D |
| Call Option (obligation to sell) | $36.0073 | Sep 15, 2014 | E | 1 | D | Sep 15, 2014 | Sep 15, 2014 | Common Stock | 3,000,000 | 0 | D |
| Call Option (obligation to sell) | $35.7003 | Sep 22, 2014 | E | 1 | D | Sep 22, 2014 | Sep 22, 2014 | Common Stock | 3,000,000 | 0 | D |
Explanation of responses
- F1Represents the expiration for no consideration of covered call options written by the reporting person on 10/8/2013, 3/6/2014 and 3/13/2014, respectively.