Current Report Filing (8-k)
October 29 2019 - 7:01AM
Edgar (US Regulatory)
0001052100
false
0001052100
2019-10-28
2019-10-29
iso4217:USD
xbrli:shares
iso4217:USD
xbrli:shares
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):
October 29, 2019
WADDELL & REED FINANCIAL, INC.
(Exact name of registrant as specified in
its charter)
|
Delaware
|
|
001-13913
|
|
51-0261715
|
(State or Other
Jurisdiction of
Incorporation)
|
|
(Commission
File Number)
|
|
(IRS Employer
Identification No.)
|
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):
¨
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
¨
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
¨
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
¨
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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. ¨
Securities registered pursuant to Section 12(b) of
the Act:
|
Title of each class
|
|
Trading Symbol(s)
|
|
Name of each exchange on which registered
|
|
Class A Common Stock, $.01 par value
|
|
WDR
|
|
New York Stock Exchange
|
|
ITEM 2.02
|
RESULTS OF OPERATIONS AND FINANCIAL CONDITION.
|
On October 29, 2019,
Waddell & Reed Financial, Inc. (the "Company") issued a press release announcing the Company's financial results
for the fiscal quarter ended September 30, 2019 (the “Press Release”). A copy of the Press Release is furnished as
Exhibit 99.1 and incorporated herein by reference.
|
ITEM 9.01
|
FINANCIAL STATEMENTS AND EXHIBITS.
|
(d) Exhibits.
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.
|
|
WADDELL & REED FINANCIAL, INC.
|
|
|
|
|
|
|
|
Date: October 29, 2019
|
By:
|
/s/ Benjamin R. Clouse
|
|
|
|
Senior Vice President and
|
|
|
|
Chief Financial Officer
|
Waddell and Reed Financial (NYSE:WDR)
Historical Stock Chart
From Mar 2024 to Apr 2024
Waddell and Reed Financial (NYSE:WDR)
Historical Stock Chart
From Apr 2023 to Apr 2024
