SEC Form 4 · accession 0001123292-15-000875
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
Oct 31, 2014
Accepted (ET)
Jun 9, 2015 · 5:02 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001173431
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 36,274,906 | D | ||
| Common Stock | holding | — | — | — | 13,873,725 | I | By Spouse |
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) | $36.3475 | Oct 31, 2014 | E | 1 | D | Oct 31, 2014 | Oct 31, 2014 | Common Stock | 3,000,000 | 1 | D |
Explanation of responses
- F1Represents the expiration for no consideration of a covered call option written by the reporting person on 3/19/2014.