Form Type: 4

SEC EDGAR Link
Accession Number:0001052100-20-000021
Date:2020-01-10
Issuer: WADDELL & REED FINANCIAL INC (WDR)
Original Submission Date:

Reporting Person:

DALEY MICHAEL JOHN
6300 LAMAR AVENUE
OVERLAND PARK, KS 66202

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
CLASS A COMMON 2020-01-10 F 365 d $16.56 3,856 direct
CLASS A COMMON 2020-01-10 M 1,056 a $0.00 4,912 direct
CLASS A COMMON 2020-01-10 D 1,056 d $16.56 3,856 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
RESTRICTED STOCK UNITS 0.0 2020-01-10 deemed execution date M 1,056 (d) 2020-01-10 2020-01-10 class a common 1,056 $0.00 3,165 direct
Footnotes
IDfootnote
f1 the reporting person surrendered these shares to satisfy tax withholding obligations resulting from the vesting of shares of restricted stock.
f2 vesting of cash-settled restricted stock units is reported as a deemed acquisition and disposition of the number of shares of class a common stock underlying the vested restricted stock units.
f3 each restricted stock unit represents a contingent right to a cash payment equal to the fair market value on the vesting date of one share of issuer's class a common stock.
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