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
Jan 2, 2015 AForm 4 →	Jan 5, 5:47 pm EST	Sharilyn S GasawayDirector	2,529	—	—	21,352	—	plan?
Dec 31, 2014 AFForm 4 →	Jan 5, 2015, 5:41 pm EST	John E Sundeen Jr.SVP & CAO - Investments	29,990	$49.82	$497,702	238,010	—	plan?
Dec 31, 2014 AFForm 4 →	Jan 5, 2015, 5:39 pm EST	Michael D StrohmSVP & Chief Operations Officer	50,368	$49.82	$1,014,734	150,943	—	plan?
Dec 31, 2014 AFForm 4 →	Jan 5, 2015, 5:37 pm EST	Philip James SandersSVP & Chief Investment Officer	54,290	$49.82	$462,828	269,040	—	plan?
Dec 31, 2014 AForm 4 →	Jan 5, 2015, 5:35 pm EST	Wendy J HillsSVP, General Counsel & Secy.	30,000	—	—	74,999	—	plan?
Dec 31, 2014 AForm 4 →	Jan 5, 2015, 5:29 pm EST	Melissa A ClouseVP, Controller & PAO	5,000	—	—	13,391	—	plan?
Dec 31, 2014 AFGForm 4 →	Jan 5, 2015, 5:26 pm EST	Thomas W ButchEVP & Chief Marketing Officer	167,668	$49.82	$1,627,520	356,670	—	plan?
Dec 31, 2014 AForm 4 →	Jan 5, 2015, 5:24 pm EST	Brent K BlossSVP, CFO & Treasurer	33,000	—	—	113,684	—	plan?
Dec 31, 2014 AFForm 4 →	Jan 5, 2015, 5:22 pm EST	Michael L AveryPresident	86,530	$49.82	$1,819,925	251,820	—	plan?
Dec 22, 2014 AFGForm 4 →	Jan 5, 2015, 5:31 pm EST	Henry J HerrmannChief Executive Officer, Director	242,756	$49.82	$2,005,554	1,014,188	—	plan? late
Oct 24, 2014 AGForm 4 →	Jan 5, 2015, 5:57 pm EST	Michael F MorrisseyDirector	12,254	—	—	21,352	—	plan? late
Mar 10, 2014 GForm 4 →	Feb 26, 2015, 5:42 pm EST	Michael D StrohmSVP & Chief Operations Officer	50,622	—	—	15,766	—	plan? late

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