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Waddell & Reed Financial Inc. 
 KS
  SEC # 1052100

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2,306  SEC Filings
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  from  1/2/98  to  5/13/21  (None in the Past Year)

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  Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent   
 
Most-Recent Filing:    ‘15-12B’ — Certification of a Termination of Registration of a Class of Securities — Form 15 — Filed as:  Filer / Offerer 
 
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notifications of all
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Filings
involving  Waddell & Reed Financial Inc. 

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Forms
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, Documents
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& Exhibits
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 in  1,538 Filings
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 Filed as:  Filer / Offerer  or  Owner / Insider


        
Latest Filing  Type    Category    Description        Documents
     
5/13/21 OLD15-12BRegistration:  Certifications of Terminations of Registration of Classes of Securities — Form 15  OLD 3
5/12/21 OLD13F-HROwnership:  Quarterly Holdings and Combination Reports by Money Managers — Form 13F  OLD  — Assets Under Management
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93
5/3/21 OLDS-8 POSRegistration:  Post-Effective Amendments of Form S-8 Registrations  OLD 42
4/30/21 OLD8-KUpdate:  Current Reports — Form 8-K  OLD  — Press Releases
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& Conference Calls
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 — Financial Reports
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217

8-K Items: 
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4/5/21 OLD
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  Business & Operations: 
Entry into a Material Definitive Agreement — Item 1.01  OLD  — ‘EX-10’
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26
4/30/21 OLD"Termination of a Material Definitive Agreement — Item 1.02  OLD  — ‘EX-10’
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13
4/30/21 OLD
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  Financial Info: 
Completion of Acquisition or Disposition of Assets — Item 2.01  OLD  — ‘EX-2’
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1
2/2/21 OLD"Results of Operations and Financial Condition — Item 2.02  OLD  — Financial Reports
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65
10/21/20 OLD"Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03  OLD  — ‘EX-10’
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9
6/19/19 OLD"Cost Associated with Exit or Disposal Activities — Item 2.05  OLD  — ‘EX-2’
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2
4/30/21 OLD
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  Securities & Trading: 
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing — Item 3.01  OLD 1
4/30/21 OLD"Material Modifications to Rights of Security Holders — Item 3.03  OLD  — ‘EX-4’
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4
4/30/21 OLD
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  Governance & Management: 
Changes in Control of Registrant — Item 5.01  OLD  — ‘EX-9’
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1
4/30/21 OLD"Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02  OLD  — List of Directors & Officers
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37
4/30/21 OLD"Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03  OLD  — ‘EX-3’
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13
3/23/21 OLD"Submission of Matters to a Vote of Security Holders — Item 5.07  OLD 12
4/13/21 OLD
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  Disclosures: 
Regulation FD Disclosure — Item 7.01  OLD  — ‘EX-99’
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68
4/21/21 OLD
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  Events: 
Other Events — Item 8.01  OLD 13
4/30/21 OLD
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  Financials: 
Financial Statements and Exhibits — Item 9.01  OLD  — Financial Reports
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180

4/29/21 OLD10-QUpdate:  Quarterly Reports — Form 10-Q  OLD  — Financial Reports
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71
4/29/21 OLD10-KUpdate:  Annual Reports — Form 10-K  OLD  — Financial Reports
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25
3/15/21 OLDDEFA14AProxy:  Definitive Additional Proxy Soliciting Materials — Schedule 14A  OLD 9
3/10/21 OLDSC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD 965
2/17/21 OLDDEFM14AProxy:  Definitive Proxy Statement – Merger or Acquisition — Schedule 14A  OLD 1
1/22/21 OLDPREM14AProxy:  Preliminary Proxy Statement – Merger or Acquisition — Schedule 14A  OLD 1
5/4/20 OLDS-8Registration:  Registration Statements – Securities for Certain Employee Benefit Plans — Form S-8  OLD 6
3/6/20 OLDDEF 14AProxy:  Definitive Proxy Statements — Schedule 14A  OLD 22
3/8/18 OLDSC 13DOwnership:  Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD 2
2/28/18 OLD4Ownership:  Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  OLD 2
2/20/18 OLD8-A12BRegistration:  Registration Statements for Certain Classes of Securities — Form 8-A  OLD 6
2/7/18 OLD3Ownership:  Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3  OLD 1
6/27/17 OLD11-KUpdate:  Annual Reports by Employee Stock Purchase, Savings and Similar Plans — Form 11-K  OLD 20
11/5/15 OLDCORRESPComment:  Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC
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10
3/24/15 OLDARSUpdate:  Annual Reports to Security Holders  OLD 13
1/16/15 OLDS-3ASRRegistration:  Automatic Shelf Registration Statements by Well-Known Issuers — Form S-3  OLD 4
4/17/09 OLDCERTNYSTrading:  Certification by the NYSE Approving a Listing — Form CERT  OLD 1
1/11/06 OLD424B5Registration:  Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events  OLD 2
1/11/06 OLDFWPRegistration:  Prospectus – Free Writing  OLD 1
1/10/06 OLD424B3Registration:  Prospectuses – New Facts or Events  OLD 2
3/17/03 OLDSC TO-IOwnership:  Tender-Offer Statements by Issuers — Schedule TO  OLD 4
10/24/02 OLDSC TO-COwnership:  Tender-Offer Communications by Issuers and Third Parties — Schedule TO  OLD 2
3/8/01 OLDPRE 14AProxy:  Preliminary Proxy Statement — Schedule 14A  OLD 1
1/16/01 OLD424B2Registration:  Prospectus – Primary Offering or Shelf Securities  OLD 1
1/8/01 OLDPOS AMRegistration:  Post-Effective Amendment of a Registration Statement  OLD 1
9/7/00 OLDS-3Registration:  Registration Statements – Securities for Transactions — Form S-3  OLD 2
3/5/98 OLD424B4Registration:  Prospectus – Info Previously Omitted & New Facts or Events  OLD 1
3/4/98 OLDS-1Registration:  Registration Statements (General Form) — Form S-1  OLD 7

Form-Specific Documents: 
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5/12/21 OLDINFO-TABLEPortfolio Securities Holdings – Info Tables — Form 13F  OLD  — Assets Under Management
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33

General Exhibits: 
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4/30/21 OLDEX-3Articles of Incorporation/Organization and Bylaws  OLD 813
4/5/21 OLDEX-10Material Contracts  OLD 275
2/19/21 OLDEX-23Consents of Experts and Counsel  OLD 98
2/19/21 OLDEX-24Powers of Attorney  OLD 31
2/19/21 OLDEX-21Subsidiaries Lists  OLD 23
12/4/20 OLDEX-2Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD 818
2/21/20 OLDEX-4Instruments, Including Indentures, Defining the Rights of Security Holders  OLD 32
2/15/18 OLDEX-1Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD 819
2/15/18 OLDEX-9Voting Trust Agreement  OLD 1
1/16/15 OLDEX-5Opinions of Counsel re: Legality  OLD 9
1/22/09 OLDEX-25Statements of Eligibility to Act as a Trustee — Forms T-1 & T-2  OLD 5

Additional Exhibits: 
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4/13/21 OLDEX-99Miscellaneous Exhibits, such as Press Releases  OLD  — Press Releases
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& Conference Calls
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574

Financials: 
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4/30/21 OLDXML  &  R#IDEA Financial Reports Info  OLD  — Financial Reports
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2,426
4/30/21 OLDEXCELIDEA Workbooks of Financial Reports Info  OLD  — Workbooks of Financial Reports
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91
4/30/21 OLDEX-101.*XBRL Data  (XBRL Files)  OLD 376
4/30/21 OLDJSONXBRL Instances as JavaScript Object Notation Data  (JSON Files)  OLD 48
4/30/21 OLDZIPXBRL Zipped Folders
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  (Folders of XBRL Files)  OLD 
84
4/29/21 OLDEX-31Certifications — §302 – SOA’02  OLD 148
4/29/21 OLDEX-32Certifications — §906 – SOA’02  OLD 146
2/23/18 OLDEX-18Letter re: a Change in Accounting Principles or Practices  OLD 1
2/24/17 OLDEX-12Statements re: Computations of Ratios  OLD 14
2/27/15 OLDEX-11Statements re: Computations of Earnings Per Share  OLD 17
11/14/00 OLDEX-27Financial Data Schedules {Pre-XBRL}  OLD  — Financial Reports
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12

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4/13/21 OLDGRAPHICPhotos, Images and Graphs  OLD 365

History as a Money Manager:  Assets Under Management
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 ·  Related Money Managers


1 Related Manager who also Reported Holdings for this Manager

As Of
  
 
Quarter
(Ended)
  Holdings
Form 13F
  Assets
(Millions)
  Reporting Manager
Manager with whom Investment Discretion is Shared
2/14/1412/31/13  54 of 10,976  $3  
 WA
 
Russell Frank Co


Forms
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, Documents
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& Exhibits
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 in  775 Filings
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 Filed re:  Issuer / Subject Company


        
New Filing!  List all Money Managers that own this Security Issuer:  CUSIP 930059
 

        
Latest Filing  Type    Category    Description        Documents
     
5/3/21 OLD25-NSETrading:  Notices by Securities Exchanges of the Removals from Listing and Registration of Matured, Redeemed and Retired Securities — Form 25  OLD 4
4/30/21 OLD4Ownership:  Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  OLD 602
2/12/21 OLDSC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD 112
12/3/20 OLDDFAN14AProxy:  Definitive Additional Non-Management Proxy Soliciting Material — Schedule 14A  OLD 1
2/25/20 OLD3Ownership:  Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3  OLD 21
1/11/19 OLD5Ownership:  Annual Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 5  OLD 2
1/11/06 OLDFWPRegistration:  Prospectus – Free Writing  OLD 1
3/17/03 OLDSC TO-IOwnership:  Tender-Offer Statements by Issuers — Schedule TO  OLD 4
10/24/02 OLDSC TO-COwnership:  Tender-Offer Communications by Issuers and Third Parties — Schedule TO  OLD 2
3/5/01 OLDSC 13DOwnership:  Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD 14

Letters: 
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11/16/15 OLDLETTERComment and Other Letters from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC12

General Exhibits: 
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4/30/21 OLDEX-24Powers of Attorney  OLD 17
3/11/03 OLDEX-10Material Contract  OLD 1

Additional Exhibits: 
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5/3/21 OLDEX-99Miscellaneous Exhibits, such as Press Releases  OLD 26


        

Filings History

Year    # of Filings
In descending order
2021 90
2020 96
2019 91
2018 95
2017 107
2016 94
2015 108
2014 127
2013 126
2012 108
2011 97
2010 126
2009 131
2008 139
2007 119
2006 109
2005 99
2004 95
2003 71
2002 66
2001 70
2000 70
1999 50
1998 22

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