Current Report Filing (8-k)
July 16 2020 - 4:31PM
Edgar (US Regulatory)
0001052100
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0001052100
2020-07-10
2020-07-10
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iso4217:USD
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of
the
Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):
July 10, 2020
WADDELL & REED FINANCIAL, INC.
(Exact name of registrant as specified in
its charter)
Delaware
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001-13913
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51-0261715
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(State or Other
Jurisdiction of
Incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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6300 Lamar Avenue
Overland Park, Kansas 66202
(Address of Principal Executive Offices)
(Zip Code)
(913) 236-2000
(Registrant’s telephone number, including
area code)
(Registrant’s Name or Former Address,
if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing
is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General
Instruction A.2. below):
¨
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Written communications pursuant to Rule 425 under
the Securities Act (17 CFR 230.425)
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¨
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Soliciting material pursuant to Rule 14a-12 under
the Exchange Act (17 CFR 240.14a-12)
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¨
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Pre-commencement communications pursuant to Rule 14d-2(b) under
the Exchange Act (17 CFR 240.14d-2(b))
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¨
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Pre-commencement communications pursuant to Rule 13e-4(c) under
the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered pursuant to Section 12(b) of
the Act:
Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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Class A Common Stock, $.01 par value
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WDR
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New York Stock Exchange
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Indicate by check mark whether the registrant is an emerging
growth company as defined in as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2
of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging
growth company ¨
If an emerging
growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with
any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨
ITEM 5.02:
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DEPARTURE OF DIRECTORS OR CERTAIN OFFICERS; ELECTION OF DIRECTORS; APPOINTMENT OF CERTAIN
OFFICERS; COMPENSATORY ARRANGEMENTS OF CERTAIN OFFICERS.
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On July 10, 2020, Constance K. Weaver notified the Board of
Directors (the “Board”) of Waddell & Reed Financial, Inc. (the “Company”) of her resignation
from the Board, effective immediately. Ms. Weaver’s decision to resign was due
to her acceptance of a chief marketing officer position with another company and was not the result of any disagreement with the
Company or its management on any matter relating to the Company’s operations, policies or practices. The size of the Board
was reduced to nine directors in connection with Ms. Weaver’s resignation.
SIGNATURES
Pursuant to the requirements
of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the
undersigned hereunto duly authorized.
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WADDELL & REED FINANCIAL, INC.
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Date: July 16, 2020
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By:
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/s/ Mark P. Buyle
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Senior Vice President, Chief Legal Officer, General Counsel and Secretary
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