Amended Statement of Changes in Beneficial Ownership (4/a)
22 Abril 2021 - 5:25PM
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
1. Name and Address of Reporting Person
*
DALEY MICHAEL JOHN |
2. Issuer Name and Ticker or Trading Symbol
WADDELL & REED FINANCIAL INC
[
WDR
]
|
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 |
(Last)
(First)
(Middle)
6300 LAMAR AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/10/2021 |
(Street)
OVERLAND PARK, KS 66202
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
3/12/2021 |
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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 (1) | (2) | 3/10/2021 | | A | | 2047 | | (3) | (3) | Class A Common | 2047 | $0 | 2047 | D | |
Explanation of Responses: |
(1) | On March 12, 2021, the reporting person filed a Form 4 that inadvertantly omitted the grant of 2,047 cash-settled restricted stock units on March 10, 2021, as reported in this amendment. |
(2) | 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. |
(3) | Restricted stock units will vest in 1/4 increments beginning on the first anniversary of the grant date. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
DALEY MICHAEL JOHN 6300 LAMAR AVENUE OVERLAND PARK, KS 66202 |
|
| VP - Chief Acct Off,IR & Treas |
|
Signatures
|
/s/ Michael J. Daley | | 4/22/2021 |
**Signature of Reporting Person | Date |
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