Company · CIK 0001052100 · SIC 6211 — Security Brokers, Dealers & Flotation Companies

WADDELL & REED FINANCIAL INC · WDR

Insider activity reported against this company. All insider holders · Files at: MBII. On EDGAR ↗

Period1M 3M 6M 1Y 2Y All datashares as filed — not split-adjusted

Open-market activity at this companybuys $0 · 0sales $4.6M · 15net −$4.6M

Open-market trades as an insider elsewherebuys $26.0M · 1sales $24k · 1net $26.0M

Reported at this company — common stock

Trade	Reported (ET)	Insider	Shares	Avg price	Total	Owned after	Δ stake	Flags
Mar 3, 2019 AForm 4 →	Mar 5, 5:22 pm EST	Kathie J. AndradeDirector	5,646	—	—	5,646	—	plan?
Feb 15, 2019 SForm 4 →	Feb 19, 6:25 pm EST	James M RainesDirector	1,000	$17.75	$17,750	23,492	−4.08%	plan?
Jan 10, 2019 DFMForm 4 →	Jan 11, 5:41 pm EST	Amy J. ScuphamSVP - Distribution	5,691	$17.77	$58,019	45,704	—	plan?
Jan 10, 2019 DFMForm 4 →	Jan 11, 5:40 pm EST	Christopher W. RackersSVP and CHRO	4,631	$17.77	$47,215	34,866	—	plan?
Jan 10, 2019 DFMForm 4 →	Jan 11, 5:40 pm EST	Shawn M. MihalSVP - Broker-Dealer	10,425	$17.77	$106,300	59,925	—	plan?
Jan 10, 2019 DFMForm 4 →	Jan 11, 5:39 pm EST	Mark P. BuyleSVP, GC, CLO and Secretary	7,116	$17.77	$72,555	69,161	—	plan?
Jan 2, 2019 SForm 4 →	Jan 3, 6:49 pm EST	Jerry W WaltonDirector	6,922	—	—	78,827	—	plan?
Jan 2, 2019 AForm 4 →	Jan 3, 6:48 pm EST	James M RainesDirector	2,308	—	—	24,492	—	plan?
Jan 2, 2019 AGForm 4 →	Jan 3, 6:48 pm EST	Michael F MorrisseyDirector	20,766	—	—	44,683	—	plan?
Jan 2, 2019 AForm 4 →	Jan 3, 6:47 pm EST	Dennis E LogueDirector	6,922	—	—	74,452	—	plan?
Jan 2, 2019 AForm 4 →	Jan 3, 6:47 pm EST	Alan W KosloffDirector	6,922	—	—	46,999	—	plan?
Jan 2, 2019 AForm 4 →	Jan 3, 6:46 pm EST	Thomas C GodlaskyDirector	9,137	—	—	48,122	—	plan?
Jan 2, 2019 AForm 4 →	Jan 3, 6:46 pm EST	Sharilyn S GasawayDirector	6,922	—	—	44,683	—	plan?
Dec 31, 2018 AForm 4 →	Jan 3, 2019, 6:45 pm EST	Amy J. ScuphamSVP - Distribution	35,952	$18.08	$650,012	46,543	—	plan?
Dec 31, 2018 AFForm 4 →	Jan 3, 2019, 6:45 pm EST	Philip James SandersCEO & Chief Inv.Officer, Director	210,009	$18.08	$821,953	650,267	—	plan?
Dec 31, 2018 AForm 4 →	Jan 3, 2019, 6:44 pm EST	Christopher W. RackersSVP and CHRO	27,655	$18.08	$500,002	35,549	—	plan?
Dec 31, 2018 AForm 4 →	Jan 3, 2019, 6:44 pm EST	Shawn M. MihalSVP - Broker-Dealer	35,952	$18.08	$650,012	61,464	—	plan?
Dec 31, 2018 AFForm 4 →	Jan 3, 2019, 6:43 pm EST	Benjamin R ClouseSVP, CFO & Treasurer	42,511	$18.08	$68,596	80,778	—	plan?
Dec 31, 2018 AForm 4 →	Jan 3, 2019, 6:42 pm EST	Mark P. BuyleSVP, GC, CLO and Secretary	24,890	$18.08	$450,011	70,211	—	plan?
Dec 31, 2018 AFForm 4 →	Jan 3, 2019, 6:41 pm EST	Brent K BlossEVP & COO	109,218	$18.08	$474,654	313,527	—	plan?
Nov 16, 2018 SForm 4 →	Nov 19, 5:36 pm EST	Jerry W WaltonDirector	9,427	$19.05	$179,589	71,905	−11.6%	plan?
Sep 12, 2018 SForm 4 →	Sep 13, 5:24 pm EDT	Alan W KosloffDirector	19,614	$20.42	$400,551	40,077	−32.9%	plan?
Sep 11, 2018 SForm 4 →	Sep 13, 5:23 pm EDT	James M RainesDirector	2,642	$20.53	$54,240	22,184	−10.6%	plan?
Jun 12, 2018 SForm 4 →	Jun 13, 6:07 pm EDT	James M RainesDirector	2,640	$19.93	$52,626	24,826	−9.61%	plan?
May 4, 2018 SForm 4 →	May 7, 6:42 pm EDT	James M RainesDirector	964	$18.38	$17,714	27,466	−3.39%	plan?
Apr 13, 2018 DForm 5 →	Jan 11, 2019, 5:42 pm EST	Benjamin R ClouseSVP, CFO & Treasurer	4,436	—	—	2,588	—	plan?
Apr 2, 2018 FForm 4 →	Apr 4, 5:46 pm EDT	Benjamin R ClouseSVP and CFO	657	$19.46	$12,785	7,024	—	plan?
Apr 2, 2018 FForm 4 →	Apr 4, 5:45 pm EDT	Wendy J HillsEVP, GC, Chief Legal Off & Sec	2,413	$19.46	$46,957	171,074	—	plan?
Feb 1, 2018 SForm 4 →	Feb 2, 5:15 pm EST	Jerry W WaltonDirector	5,792	$22.95	$132,944	81,332	−6.65%	plan?
Jan 10, 2018 DFMForm 4 →	Jan 12, 6:07 pm EST	Benjamin R ClouseVice President and CAO	772	$22.17	$9,910	7,681	—	plan?
Jan 2, 2018 AForm 4 →	Jan 3, 6:34 pm EST	Jerry W WaltonDirector	5,734	—	—	87,124	—	plan?
Jan 2, 2018 AForm 4 →	Jan 3, 6:33 pm EST	James M RainesDirector	5,734	—	—	28,430	—	plan?
Jan 2, 2018 AGForm 4 →	Jan 3, 6:32 pm EST	Michael F MorrisseyDirector	17,202	—	—	37,761	—	plan?
Jan 2, 2018 AForm 4 →	Jan 3, 6:32 pm EST	Dennis E LogueDirector	5,734	—	—	67,530	—	plan?
Jan 2, 2018 AForm 4 →	Jan 3, 6:31 pm EST	Alan W KosloffDirector	6,996	—	—	59,691	—	plan?
Jan 2, 2018 AForm 4 →	Jan 3, 6:29 pm EST	Thomas C GodlaskyDirector	6,958	—	—	38,985	—	plan?
Jan 2, 2018 AForm 4 →	Jan 3, 6:29 pm EST	Sharilyn S GasawayDirector	5,734	—	—	37,761	—	plan?
Dec 31, 2017 AFForm 4 →	Jan 3, 2018, 6:27 pm EST	John E Sundeen Jr.SVP & CAO - Investments	62,901	$22.34	$320,199	304,672	—	plan?
Dec 31, 2017 AFForm 4 →	Jan 3, 2018, 6:26 pm EST	Philip James SandersCEO & Chief Inv.Officer, Director	176,289	$22.34	$813,288	531,182	—	plan?
Dec 31, 2017 AFForm 4 →	Jan 3, 2018, 6:25 pm EST	Wendy J HillsSVP, GC, Chief Legal Off & Sec	73,458	$22.34	$401,048	173,487	—	plan?
Dec 31, 2017 AFForm 4 →	Jan 3, 2018, 6:25 pm EST	Benjamin R ClouseVice President and PAO	25,278	$22.34	$64,697	45,855	—	plan?
Dec 31, 2017 FForm 4 →	Jan 3, 2018, 6:24 pm EST	Thomas W ButchEVP & Chief Marketing Officer	33,526	$22.34	$748,971	399,283	—	plan?
Dec 31, 2017 AFForm 4 →	Jan 3, 2018, 6:23 pm EST	Brent K BlossSVP, COO, CFO & Treasurer	98,008	$22.34	$539,489	256,815	—	plan?
Dec 28, 2017 FGForm 4 →	Jan 3, 2018, 6:30 pm EST	Henry J HerrmannDirector	48,646	$22.34	$751,652	974,175	—	plan? late
Dec 21, 2017 SForm 4 →	Dec 22, 6:52 pm EST	Wendy J HillsSVP, General Counsel & Secy.	31,273	$22.41	$700,951	135,933	−18.7%	plan?
Dec 21, 2017 SForm 4 →	Dec 22, 6:39 pm EST	John E Sundeen Jr.SVP & CAO - Investments	45,168	$22.48	$1,015,458	270,437	−14.3%	plan?
Nov 20, 2017 SForm 4/A →	Nov 29, 5:15 pm EST	Alan W KosloffDirector	19,178	$18.82	$360,853	52,695	−26.7%	plan?
Nov 20, 2017 SForm 4 →	Nov 21, 5:14 pm EST	Alan W KosloffDirector	19,178	$19.82	$380,031	52,695	−26.7%	plan? amended
Nov 9, 2017 SForm 4 →	Nov 13, 5:13 pm EST	Thomas W ButchEVP & Chief Marketing Officer	40,000	$19.23	$769,040	432,809	−8.46%	plan?
Oct 16, 2017 GForm 4 →	Nov 13, 5:16 pm EST	Henry J HerrmannDirector	2,500	—	—	1,022,821	—	plan? late
Aug 7, 2017 SForm 4 →	Aug 9, 5:18 pm EDT	Benjamin R ClouseVP and Chief Acct. Officer	5,903	$20.01	$118,141	8,327	−41.5%	plan?
Aug 3, 2017 SForm 4 →	Aug 7, 4:28 pm EDT	Alan W KosloffDirector	25,076	$19.40	$486,474	71,873	−25.9%	plan?
Apr 2, 2017 FForm 4 →	Apr 4, 5:01 pm EDT	Brent K BlossSVP, CFO & Treasurer	2,638	$17.00	$44,846	207,105	—	plan?
Apr 2, 2017 FForm 4 →	Apr 4, 4:57 pm EDT	Wendy J HillsSVP, General Counsel & Secy.	3,693	$17.00	$62,781	167,206	—	plan?
Apr 2, 2017 FForm 4 →	Apr 4, 4:53 pm EDT	Benjamin R ClouseVP and Chief Acct. Officer	739	$17.00	$12,563	14,230	—	plan?
Jan 3, 2017 AForm 4 →	Jan 4, 5:05 pm EST	Jerry W WaltonDirector	6,254	—	—	81,390	—	plan?
Jan 3, 2017 AForm 4 →	Jan 4, 5:02 pm EST	James M RainesDirector	6,254	—	—	22,696	—	plan?
Jan 3, 2017 AGForm 4 →	Jan 4, 4:59 pm EST	Michael F MorrisseyDirector	18,762	—	—	32,027	—	plan?
Jan 3, 2017 AForm 4 →	Jan 4, 4:54 pm EST	Alan W KosloffDirector	10,381	—	—	96,949	—	plan?
Jan 3, 2017 AForm 4 →	Jan 4, 4:53 pm EST	Dennis E LogueDirector	6,254	—	—	61,796	—	plan?
Jan 3, 2017 AForm 4 →	Jan 4, 4:42 pm EST	Thomas C GodlaskyDirector	6,254	—	—	32,027	—	plan?
Jan 3, 2017 AForm 4 →	Jan 4, 4:40 pm EST	Sharilyn S GasawayDirector	6,254	—	—	32,027	—	plan?
Dec 31, 2016 AFForm 4 →	Jan 4, 2017, 4:36 pm EST	John E Sundeen Jr.SVP & CAO - Investments	61,857	$19.51	$120,123	315,605	—	plan?
Dec 31, 2016 AFForm 4 →	Jan 4, 2017, 4:32 pm EST	Philip James SandersCEO & Chief Inv.Officer, Director	164,402	$19.51	$407,798	427,703	—	plan?
Dec 31, 2016 AFForm 4 →	Jan 4, 2017, 4:28 pm EST	Wendy J HillsSVP, General Counsel & Secy.	66,381	$19.51	$73,767	170,899	—	plan?
Dec 31, 2016 AFForm 4 →	Jan 4, 2017, 4:25 pm EST	Benjamin R ClouseVice President and PAO	15,896	$19.51	$10,126	25,845	—	plan?
Dec 31, 2016 AFGForm 4 →	Jan 4, 2017, 4:20 pm EST	Thomas W ButchEVP & Chief Marketing Officer	304,766	$19.51	$414,900	472,809	—	plan?
Dec 31, 2016 AFForm 4 →	Jan 4, 2017, 4:16 pm EST	Brent K BlossSVP, CFO & Treasurer	84,449	$19.51	$172,644	209,743	—	plan?
Dec 7, 2016 FGForm 4 →	Jan 4, 2017, 4:46 pm EST	Henry J HerrmannDirector	39,160	$19.51	$568,912	1,025,321	—	plan? late
Jun 30, 2016 FForm 4 →	Jul 5, 5:23 pm EDT	Michael L AveryOther	41,758	$17.22	$719,073	155,708	—	plan?
Apr 18, 2016 AForm 4 →	Jan 12, 2017, 5:52 pm EST	Benjamin R ClouseVP and Chief Acct. Officer	3,994	—	—	14,969	—	plan? late
Apr 2, 2016 FForm 4 →	Apr 5, 6:06 pm EDT	Benjamin R ClouseVice President and PAO	1,079	$23.70	$25,572	11,494	—	plan?
Apr 2, 2016 FForm 4 →	Apr 5, 5:43 pm EDT	Brent K BlossSVP, CFO & Treasurer	4,862	$23.70	$115,229	142,992	—	plan?
Apr 2, 2016 FForm 4 →	Apr 5, 5:38 pm EDT	Wendy J HillsSVP, General Counsel & Secy.	4,750	$23.70	$112,575	112,080	—	plan?
Jan 4, 2016 AForm 4 →	Jan 5, 6:18 pm EST	Jerry W WaltonDirector	4,421	—	—	75,136	—	plan?
Jan 4, 2016 AForm 4 →	Jan 5, 6:16 pm EST	James M RainesDirector	4,421	—	—	16,442	—	plan?
Jan 4, 2016 AGForm 4 →	Jan 5, 6:14 pm EST	Michael F MorrisseyDirector	13,263	—	—	25,773	—	plan?
Jan 4, 2016 AForm 4 →	Jan 5, 6:12 pm EST	Dennis E LogueDirector	4,421	—	—	55,542	—	plan?
Jan 4, 2016 AForm 4 →	Jan 5, 6:10 pm EST	Alan W KosloffDirector	7,338	—	—	86,568	—	plan?
Jan 4, 2016 AForm 4 →	Jan 5, 6:08 pm EST	Sharilyn S GasawayDirector	4,421	—	—	25,773	—	plan?
Jan 4, 2016 AForm 4 →	Jan 5, 6:05 pm EST	Thomas C GodlaskyDirector	4,421	—	—	25,773	—	plan?
Dec 31, 2015 AFForm 4 →	Jan 5, 2016, 5:54 pm EST	John E Sundeen Jr.SVP & CAO - Investments	41,948	$28.66	$199,130	266,062	—	plan?
Dec 31, 2015 AFForm 4 →	Jan 5, 2016, 5:52 pm EST	Philip James SandersSVP & Chief Investment Officer	63,935	$28.66	$399,377	305,105	—	plan?
Dec 31, 2015 AForm 4 →	Jan 5, 2016, 5:50 pm EST	Wendy J HillsSVP, General Counsel & Secy.	45,000	—	—	116,830	—	plan?
Dec 31, 2015 AFGForm 4 →	Jan 5, 2016, 5:46 pm EST	Thomas W ButchEVP & Chief Marketing Officer	237,095	$28.66	$776,543	399,575	—	plan?
Dec 31, 2015 AFForm 4 →	Jan 5, 2016, 5:44 pm EST	Brent K BlossSVP, CFO & Treasurer	48,871	$28.66	$110,943	147,854	—	plan?
Aug 19, 2015 FGForm 4 →	Jan 5, 2016, 5:41 pm EST	Michael L AveryPresident	40,563	$28.66	$832,946	205,757	—	plan? late amended
Aug 3, 2015 SForm 4 →	Aug 4, 5:06 pm EDT	James M RainesDirector	3,000	$44.96	$134,880	12,021	−20.0%	plan?
May 26, 2015 SForm 4 →	May 26, 6:14 pm EDT	Dennis E LogueDirector	2,700	$48.30	$130,410	51,121	−5.02%	plan?
May 20, 2015 AFGForm 4 →	Jan 5, 2016, 5:48 pm EST	Henry J HerrmannChief Executive Officer, Director	349,707	$28.66	$1,109,343	1,064,481	—	plan? late
Apr 2, 2015 FForm 4 →	Apr 6, 5:52 pm EDT	Melissa A ClouseVP, Controller & PAO	855	$50.18	$42,904	12,536	—	plan?
Apr 2, 2015 FForm 4 →	Apr 6, 5:43 pm EDT	Wendy J HillsSVP, General Counsel & Secy.	3,169	$50.18	$159,020	71,830	—	plan?
Apr 2, 2015 FForm 4 →	Apr 6, 5:41 pm EDT	Brent K BlossSVP, CFO & Treasurer	6,959	$50.18	$349,203	106,725	—	plan?
Mar 3, 2015 GForm 4 →	Mar 5, 5:40 pm EST	Michael D StrohmSVP & Chief Operations Officer	49,264	—	—	27,766	—	plan?
Feb 10, 2015 PForm 4 →	Feb 11, 5:25 pm EST	Michael L AveryPresident	5,500	$48.64	$267,520	246,320	—	plan?
Jan 2, 2015 AForm 4 →	Jan 5, 6:01 pm EST	Jerry W WaltonDirector	2,529	—	—	70,715	—	plan?
Jan 2, 2015 AForm 4 →	Jan 5, 5:59 pm EST	James M RainesDirector	2,529	—	—	15,021	—	plan?
Jan 2, 2015 AForm 4 →	Jan 5, 5:53 pm EST	Dennis E LogueDirector	2,529	—	—	53,821	—	plan?
Jan 2, 2015 AForm 4 →	Jan 5, 5:51 pm EST	Alan W KosloffDirector	4,198	—	—	79,230	—	plan?
Jan 2, 2015 AForm 4 →	Jan 5, 5:49 pm EST	Thomas C GodlaskyDirector	2,529	—	—	21,352	—	plan?

Reported at this company — derivatives (options, RSUs, warrants)

Trade	Reported (ET)	Insider	Shares	Avg price	Total	Owned after	Δ stake
Jan 10, 2019 MForm 4 →	Jan 11, 5:41 pm EST	Amy J. ScuphamSVP - Distribution	2,426	—	—	3,383	—
Jan 10, 2019 MForm 4 →	Jan 11, 5:40 pm EST	Christopher W. RackersSVP and CHRO	1,974	—	—	5,920	—
Jan 10, 2019 MForm 4 →	Jan 11, 5:40 pm EST	Shawn M. MihalSVP - Broker-Dealer	4,443	—	—	8,457	—
Jan 10, 2019 MForm 4 →	Jan 11, 5:39 pm EST	Mark P. BuyleSVP, GC, CLO and Secretary	3,033	—	—	4,229	—
Jan 10, 2018 MForm 4 →	Jan 12, 6:07 pm EST	Benjamin R ClouseVice President and CAO	325	—	—	974	—
Jan 10, 2017 AForm 4 →	Jan 12, 5:52 pm EST	Benjamin R ClouseVP and Chief Acct. Officer	1,299	—	—	1,299	—

Filed by this entity as an insider elsewhere — common stock

Trade	Reported (ET)	Company	Shares	Avg price	Total	Owned after	Δ stake	Flags
Feb 26, 2018 JForm 4 →	Feb 28, 4:17 pm EST	MARRONE BIO INNOVATIONS INCMBII	17,455,000	—	—	24,714,892	—	plan?
Feb 1, 2017 SForm 4 →	Feb 7, 2018, 6:38 pm EST	MARRONE BIO INNOVATIONS INCMBII	11,300	$2.16	$24,389	4,714,892	−0.24%	plan? late
Nov 1, 2016 JForm 4 →	Feb 7, 2018, 6:38 pm EST	MARRONE BIO INNOVATIONS INCMBII	20,041,900	$2.00	$83,800	24,714,892	—	plan? late
May 14, 2014 PForm 4 →	Feb 7, 2018, 6:38 pm EST	MARRONE BIO INNOVATIONS INCMBII	2,753,509	$9.45	$26,021,764	4,768,092	+137%	plan? late

Filed by this entity as an insider elsewhere — derivatives (options, RSUs, warrants)

Trade	Reported (ET)	Company	Shares	Avg price	Total	Owned after	Δ stake	Flags
Feb 26, 2018 JForm 4 →	Feb 28, 4:17 pm EST	MARRONE BIO INNOVATIONS INCMBII	5,520,000	—	—	8,000,000	—
Aug 20, 2015 JPForm 4 →	Feb 7, 2018, 6:38 pm EST	MARRONE BIO INNOVATIONS INCMBII	8,000,000	—	—	8,000,000	—	late