4//SEC Filing
WADDELL & REED FINANCIAL INC 4
Accession 0001077794-04-000003
CIK 0001052100operating
Filed
Aug 16, 8:00 PM ET
Accepted
Aug 17, 5:00 PM ET
Size
43.4 KB
Accession
0001077794-04-000003
Insider Transaction Report
Form 4
TUCKER KEITH A
DirectorChairman and CEO
Transactions
- Tax Payment
Class A Common
2004-08-02$19.37/sh−65,066$1,260,328→ 1,642,944 total(indirect: Personal Corporation) - Tax Payment
Class A Common
2004-08-02$19.37/sh−9,752$188,896→ 1,705,192 total(indirect: Personal Corporation) - Exercise/Conversion
NQSO (Right to Buy)
2004-08-02−13,950→ 69,750 total(indirect: By Trust)Exercise: $14.63From: 1999-12-16Exp: 2009-12-15→ Class A Common (13,950 underlying) - Award
NQSO (Right to Buy)
2004-08-02+16,733→ 16,733 total(indirect: By Trust)Exercise: $19.37From: 2005-02-02Exp: 2009-03-03→ Class A Common (16,733 underlying) - Award
NQSO (Right to Buy)
2004-08-02+11,437→ 11,437 total(indirect: By Trust)Exercise: $19.37From: 2005-02-02Exp: 2009-12-15→ Class A Common (11,437 underlying) - Tax Payment
Class A Common
2004-08-02$19.37/sh−11,437$221,535→ 1,691,033 total(indirect: Personal Corporation) - Award
NQSO (Right to Buy)
2004-08-02+9,752→ 9,752 total(indirect: By Trust)Exercise: $19.37From: 2005-02-02Exp: 2010-12-09→ Class A Common (9,752 underlying) - Exercise/Conversion
Class A Common
2004-08-02$8.28/sh+51,121$423,031→ 1,702,470 total(indirect: Personal Corporation) - Tax Payment
Class A Common
2004-08-02$19.37/sh−16,733$324,118→ 1,688,250 total(indirect: Personal Corporation) - Exercise/Conversion
Class A Common
2004-08-02$15.33/sh+19,760$302,986→ 1,708,010 total(indirect: Personal Corporation) - Exercise/Conversion
Class A Common
2004-08-02$16.83/sh+10,791$181,648→ 1,715,983 total(indirect: Personal Corporation) - Exercise/Conversion
NQSO (Right to Buy)
2004-08-02−72,000→ 0 total(indirect: By Trust)Exercise: $16.83From: 2001-12-10Exp: 2009-12-11→ Class A Common (72,000 underlying) - Tax Payment
Class A Common
2004-08-02$19.37/sh−29,585$573,061→ 1,651,349 total(indirect: Personal Corporation) - Exercise/Conversion
NQSO (Right to Buy)
2004-08-02−51,121→ 153,363 total(indirect: By Trust)Exercise: $8.28From: 1998-01-31Exp: 2008-01-30→ Class A Common (51,121 underlying) - Award
NQSO (Right to Buy)
2004-08-02+65,066→ 65,066 total(indirect: By Trust)Exercise: $19.37From: 2005-02-02Exp: 2009-12-11→ Class A Common (65,066 underlying) - Exercise/Conversion
Class A Common
2004-08-02$14.63/sh+13,950$204,019→ 1,704,983 total(indirect: Personal Corporation) - Exercise/Conversion
NQSO (Right to Buy)
2004-08-02−19,760→ 79,040 total(indirect: By Trust)Exercise: $15.33From: 1999-03-04Exp: 2009-03-03→ Class A Common (19,760 underlying) - Exercise/Conversion
NQSO (Right to Buy)
2004-08-02−10,791→ 64,746 total(indirect: By Trust)Exercise: $16.83From: 2000-12-10Exp: 2010-12-09→ Class A Common (10,791 underlying) - Award
NQSO (Right to Buy)
2004-08-02+29,585→ 29,585 total(indirect: By Trust)Exercise: $19.37From: 2005-02-02Exp: 2008-01-30→ Class A Common (29,585 underlying) - Exercise/Conversion
Class A Common
2004-08-02$16.83/sh+72,000$1,211,998→ 1,714,944 total(indirect: Personal Corporation)
Holdings
- 200,000(indirect: By Partnership)
Class A Common
- 35,400(indirect: By IRA)
Class A Common
- 75,000(indirect: By Trust)
Class A Common
- 28,700.45(indirect: By 401(k))
Class A Common
Footnotes (4)
- [F1]Units (which include stock and cash reserves) representing Mr. Tucker's interest in the Company's 401(k) Plan unitized stock fund as of August 16, 2004.
- [F2]Vests 10% per year beginning on first anniversary of grant date.
- [F3]Vest in 1/3 increments beginning on second anniversary of grant date.
- [F4]Following the above reported transactions, Mr. Tucker owns, in the aggregate, a remaining 2,496,886 options outstanding with various exercise prices and grant, vesting and expiration dates.
Documents
Issuer
WADDELL & REED FINANCIAL INC
CIK 0001052100
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001052100
Filing Metadata
- Form type
- 4
- Filed
- Aug 16, 8:00 PM ET
- Accepted
- Aug 17, 5:00 PM ET
- Size
- 43.4 KB