SEC Form 4/A · accession 0001173431-16-000431
TD AMERITRADE HOLDING CORP · AMTD
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
Ellen L S Koplow
Officer — EVP, General Counsel and Sec.
Period of report
Nov 10, 2016
Accepted (ET)
Nov 22, 2016 · 4:18 pm EST
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 StockF1,F2 | Nov 10, 2016 | S | 34,446 | $36.06 | D | 103,159 | D | |
| Common StockF1,F3 | Nov 10, 2016 | S | 6,800 | $36.74 | D | 96,359 | D | |
| Common Stock | holding | — | — | — | 16,177 | I | By 401(k) plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Amending to correct price.
- F2This price represents the weighted average sales price for multiple transactions reported on this line. The prices of the transactions reported on this line ranged from $35.41 to $36.39. Upon request by the SEC staff, the issuer or a security holder of the issuer, the reporting person will undertake to provide full information regarding the number of shares and prices at which transactions were effected.
- F3This price represents the weighted average sales price for multiple transactions reported on this line. The prices of the transactions reported on this line ranged from $36.42 to $37.14. Upon request by the SEC staff, the issuer or a security holder of the issuer, the reporting person will undertake to provide full information regarding the number of shares and prices at which transactions were effected.