4/A//SEC Filing
STROHM MICHAEL D 4/A
Accession 0001113433-13-000004
CIK 0001052100other
Filed
Jan 9, 7:00 PM ET
Accepted
Jan 10, 6:36 PM ET
Size
7.0 KB
Accession
0001113433-13-000004
Insider Transaction Report
Form 4/AAmended
STROHM MICHAEL D
SVP & Chief Operations Officer
Transactions
- Gift
Class A Common
2012-12-17−200→ 25,665 total(indirect: By Trust) - Gift
Class A Common
2012-12-21−125→ 25,440 total(indirect: By Trust)
Footnotes (2)
- [F1]Mr. Strohm's December 26, 2012 Form 4 filing incorrectly reported dispositions by gift transaction of shares owned directly by Mr. Strohm. The December 26, 2012 filing should have reported that the gifted shares originated from Mr. Strohm's personal trust. As a result, the amount of securities owned by Mr. Strohm directly was understated by, and the amount of securities owned indirectly by Mr. Strohm through his trust was overstated by, 325 shares. As a result of the error, Mr. Strohm's subsequent Form 4 filing on January 3, 2013 reported incorrect ownership amounts in Column 5. The January 3, 2013 filing should have reported that following the transactions reported therein Mr. Strohm owned 25,440 shared directly and 163,653 shares indirectly through his personal trust.
- [F2]These shares are held in trust for the benefit of Mrs. Strohm. Mr. and Mrs. Strohm are co-trustees of the trust.
Documents
Issuer
WADDELL & REED FINANCIAL INC
CIK 0001052100
Entity typeother
Related Parties
1- filerCIK 0001113433
Filing Metadata
- Form type
- 4/A
- Filed
- Jan 9, 7:00 PM ET
- Accepted
- Jan 10, 6:36 PM ET
- Size
- 7.0 KB