Accession Number: | 0001052100-20-000021 |
Date: | 2020-01-10 |
Issuer: | WADDELL & REED FINANCIAL INC (WDR) |
Original Submission Date: |
DALEY MICHAEL JOHN
6300 LAMAR AVENUE
OVERLAND PARK, KS 66202
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature 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 |
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 Exercisable | Expiration 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 |
ID | footnote |
---|---|
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. |