Statement of Changes in Beneficial Ownership (4)
March 12 2021 - 4:37PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
DALEY MICHAEL JOHN |
2. Issuer Name and Ticker or Trading Symbol
WADDELL & REED FINANCIAL INC
[
WDR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
VP - Chief Acct Off,IR & Treas |
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(Last)
(First)
(Middle)
6300 LAMAR AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/10/2021 |
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(Street)
OVERLAND PARK, KS 66202
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Class A Common | 3/10/2021 | | F | | 343 (1) | D | $25.02 | 7821 | D | |
| Class A Common | 3/10/2021 | | F | | 2726 (2) | A | (3) | 10547 | D | |
| Class A Common | 3/10/2021 | | D | | 2726 (2) | D | $25.02 | 7821 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Restricted Stock Units | (3) | 3/10/2021 | | M | | | 2726 | 3/10/2021 | 3/10/2021 | Class A Common | 2726 | (3) | 8178 | D | |
| Restricted Stock Units | (4) | 3/10/2021 | | A | | 2047 | | (5) | (5) | Class A Common | 2047 | $0 | 2047 | D | |
| Explanation of Responses: |
| (1) | The reporting person surrendered these shares to satisfy tax withholding obligations resulting from the vesting of shares of restricted stock. |
| (2) | 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. |
| (3) | Each restricted stock unit represents a contingent right to a cash payment equal to the fair market value on the date immediately preceding the vesting date of one share of Issuer's Class A Common Stock. |
| (4) | Each restricted stock unit represents a contingent right to receive, at Issuer's sole discretion, (i) a cash payment equal to the fair market value on the date immediately preceding the vesting date of one share of Issuer's Class A Common Stock or (ii) one share of Issuer's Class A Common Stock; provided, that, in the event of a Change of Control, each restricted stock unit shall be settled by cash payment. |
| (5) | Restricted stock units will vest in 1/4 increments beginning on the first anniversary of the grant date. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
DALEY MICHAEL JOHN
6300 LAMAR AVENUE
OVERLAND PARK, KS 66202 |
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| VP - Chief Acct Off,IR & Treas |
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Signatures
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| /s/ Michael J. Daley | | 3/12/2021 |
| **Signature of Reporting Person | Date |
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