Current Report Filing (8-k)
25 October 2016 - 9:54PM
Edgar (US Regulatory)
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 25, 2016
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
(Registrants Telephone Number, including Area Code)
(Registrants Former 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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o
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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o
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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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o
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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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ITEM 2.02
RESULTS OF OPERATIONS AND FINANCIAL CONDITION.
On October 25, 2016, Waddell & Reed Financial, Inc. (the Company) issued a press release announcing the Companys financial results for the fiscal quarter ended September 30, 2016. A copy of the Companys press release is furnished as Exhibit 99.1 and incorporated herein by reference.
ITEM 9.01
FINANCIAL STATEMENTS AND EXHIBITS.
(d)
Exhibits.
99.1
Press Release dated October 25, 2016
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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: October 25, 2016
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By:
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/s/ Brent K. Bloss
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Brent K. Bloss
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Senior Vice President, Chief Financial Officer and Treasurer
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3
EXHIBIT INDEX
Exhibit No.
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Description
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99.1
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Press Release dated October 25, 2016
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