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Section 1: 8-K (8-K)

 

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):

August 9, 2018

 

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):

 

o             Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

o             Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

o             Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

o                        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  o

 

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. o

 



 

ITEM 7.01           REGULATION FD DISCLOSURE.

 

On August 9, 2018, Waddell & Reed Financial, Inc. issued a press release announcing its preliminary assets under management for the month ended July 31, 2018.  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.

 

 

Exhibit No.

 

Description

 

 

 

99.1

 

Press Release dated August 9, 2018

 



 

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: August 10, 2018

By:

/s/ Benjamin R. Clouse                           

 

 

Senior Vice President and

 

 

Chief Financial Officer

 


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Section 2: EX-99.1 (EX-99.1)

Exhibit 99.1

 

 

 

News Release

 

 

 

Waddell & Reed Financial, Inc. Announces July 31, 2018 Assets Under Management

 

Overland Park, KS, Aug. 9, 2018 – Waddell & Reed Financial, Inc. (NYSE: WDR) today reported preliminary assets under management of $79.2 billion for the month ended July 31, 2018, compared to $78.7 billion on June 30, 2018.

 

 

Assets Under Management

 

 

 

 

 

($ in Millions)

 

 

 

 

 

 

 

 

 

Preliminary

 

 

 

Month Ended July 31, 2018

 

 

 

Retail

 

Institutional

 

Total

 

 

 

 

 

 

 

 

 

Beginning assets

 

  $

73,401

 

  $

5,250

 

  $

78,651

 

Net flows

 

(618)

 

(205)

 

(823)

 

Market action

 

1,293

 

102

 

1,395

 

Ending assets

 

  $

74,076

 

  $

5,147

 

  $

79,223

 

 

 

 

Cautionary Statement

 

The preliminary information included in this news release reflects management’s estimate based on currently available information.  Estimates are subject to change. Accordingly, you should not place undue reliance upon this preliminary information.

 

Contacts

 

Investor Contact:

Nicole Russell, VP, Investor Relations, (913) 236-1880, nrussell@waddell.com

 

Mutual Fund Investor Contact:

Call (888) WADDELL, or visit www.waddell.com or www.ivyfunds.com.

 

About the Company

 

Through its subsidiaries, Waddell & Reed Financial, Inc. has provided investment management and financial planning services to clients throughout the United States since 1937.  Today, we distribute our investment products through the unaffiliated channel (encompassing broker/dealer, retirement, and registered investment advisors), our broker-dealer channel (through independent financial advisors), and our Institutional channel (including defined benefit plans, pension plans, endowments and subadvisory relationships).  For more information, visit ir.waddell.com.

 


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