Waddell & Reed Financial, Inc. Contracts & Agreements

212 Contracts & Agreements
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Filed
Letter Agreement Regarding Closing Date under Merger Agreement between Macquarie Management Holdings, Inc. and Waddell & Reed Financial, Inc.
Merger Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2021
Waddell & Reed Financial, Inc. Executive Incentive Plan (Amended and Restated, Effective December 17, 2020)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2021
Waddell & Reed Financial, Inc. Amended and Restated Stock Incentive Plan (Effective December 17, 2020)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2021
Waddell & Reed Financial, Inc. Restricted Stock Unit Award Agreement with Awardee
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2021
Waddell & Reed Financial, Inc. Restricted Stock Unit Award Agreement with Director
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2021
Agreement and Plan of Merger among Waddell & Reed Financial, Inc., Macquarie Management Holdings, Inc., Merry Merger Sub, Inc., and Macquarie Financial Holdings Pty Ltd
Merger Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2020
Change of Control Retention and Severance Agreement between Waddell & Reed Financial, Inc. and Executive
Change of Control Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2020
Credit Agreement among Waddell & Reed Financial, Inc., Lenders, and Bank of America, N.A. dated October 20, 2020
Credit Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2020
Waddell & Reed Financial, Inc. Amended and Restated Stock Incentive Plan (2020)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2020
Description of Waddell & Reed Financial, Inc. Class A Common Stock Registered Under Section 12 of the Exchange Act
Stock Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2020
Waddell & Reed Financial, Inc. Executive Incentive Plan (Amended and Restated Effective January 1, 2020)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2020
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement with Employee
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2020
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement with Director
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2020
Waddell & Reed Financial, Inc. Cash Settled RSU Plan (Amended and Restated as of February 19, 2020)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2020
Waddell & Reed Financial, Inc. Restricted Stock Unit Award Agreement with Employee
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2020
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement with Employee
Stock Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2019
Waddell & Reed Financial, Inc. Restricted Stock Unit Award Agreement
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2019
Waddell & Reed Financial, Inc. Executive Incentive Plan (Amended and Restated Effective January 1, 2019)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2019
Waddell & Reed Financial, Inc. Cash Settled RSU Plan
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2018
Waddell & Reed Financial, Inc. Restricted Stock Unit Award Agreement with Employee
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2018
Separation Agreement and Release of All Claims between W&R Corporate LLC and Wendy J. Hills
Separation Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2018
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement for Directors
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2018
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement with Director
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2018
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement for Directors
Stock Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2018
Waddell & Reed Financial, Inc. 2003 Executive Incentive Plan (Amended and Restated as of November 16, 2016)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2018
Amended and Restated Investment Management Agreement between Waddell & Reed Advisors Funds and Waddell & Reed Investment Management Company (May 15, 2017)
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2018
First Amendment to Amended and Restated Investment Management Agreement between Waddell & Reed Advisors Funds and Waddell & Reed Investment Management Company
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2018
Second Amendment to Rights Agreement between Waddell & Reed Financial, Inc. and Computershare Trust Company, N.A.
Modification Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2018
Severance Agreement and Release of All Claims between W & R Corporate LLC and Thomas W. Butch
Severance Agreements
Waddell & Reed Financial, Inc.
Capital Markets
KS
2018
Investment Management Agreement between InvestEd Portfolios and Ivy Investment Management Company (IICO)
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2017
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement with Awardee
Equity Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2017
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement with Director
Equity Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2017
Investment Management Agreement between Ivy NextShares and Ivy Investment Management Company (IICO)
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2016
Investment Management Agreement between Ivy Variable Insurance Portfolios and Ivy Investment Management Company (2016)
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2016
Investment Management Agreement between Ivy Variable Insurance Portfolios and Ivy Investment Management Company (2016)
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2016
First Amendment to Rights Agreement between Waddell & Reed Financial, Inc. and Computershare Trust Company, N.A.
Modification Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2016
Waddell & Reed Financial, Inc. 1998 Stock Incentive Plan (As Amended and Restated)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2016
First Amended and Restated Investment Management Agreement among Ivy Global Investors Fund, Lemanik Asset Management S.A., and Ivy Investment Management Company
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2016
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement with Awardee
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2016
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement for Directors
Equity Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2016
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement with Awardee
Stock Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2016
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement for Non-Employee Directors
Equity Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2016
Confidential Separation Agreement and Release of All Claims between W & R Corporate LLC and Michael D. Strohm
Separation Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2016
Employment Agreement between Waddell & Reed Investment Management Company and Portfolio Manager
Employment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
KS
2016
Release of All Claims Agreement between Waddell & Reed Financial, Inc. and Daniel P. Connealy
Release Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2014
Waddell & Reed Financial, Inc. 2003 Executive Incentive Plan (Amended and Restated Effective January 1, 2014)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2014
Waddell & Reed Financial, Inc. 2003 Executive Incentive Plan (Amended and Restated Effective January 1, 2012)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2014
2014 Executive Incentive and Restricted Stock Award Performance Criteria Agreement (Herrmann, Avery, Bloss, Butch, Sanders)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2014
Administrative and Marketing Services Agreement between Nationwide Life Insurance Companies and Waddell & Reed, Inc.
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
OH
2013
2013 Performance Criteria for Executive Incentive and Restricted Stock Awards under 2003 and 1998 Plans
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2013
Waddell & Reed Financial, Inc. 1998 Executive Stock Award Plan (As Amended and Restated)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2012
Waddell & Reed Financial, Inc. 1998 Non-Employee Director Stock Award Plan (As Amended and Restated)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2012
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement with Awardee
Equity Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2012
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement for Non-Employee Directors
Equity Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2012
Waddell & Reed Financial, Inc. 1998 Stock Incentive Plan (As Amended and Restated)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2012
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement under 1998 Stock Incentive Plan
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2012
WRIMCO/IICO Institutional Revenue Sharing Schedule for Large Cap Growth Portfolio Managers
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2012
2012 Executive Incentive and Restricted Stock Award Performance Criteria Agreement (Herrmann, Avery, Butch, Connealy, Sanders)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2012
Revenue Sharing Agreement for Flow Accounts Portfolio Managers (WRIMCO/IICO)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2011
WRIMCO/IICO Institutional Revenue Sharing Schedule for Portfolio Managers
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2011
2011 Executive Incentive and Restricted Stock Award Performance Criteria Agreement (Herrmann, Avery, Butch, Connealy)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2011
Accounting Services Agreement between Waddell & Reed Advisors Funds and Waddell & Reed Services Company (2009)
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Accounting Services Agreement between Ivy Funds Variable Insurance Portfolios and Waddell & Reed Services Company (April 30, 2009)
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Investment Management Agreement between Waddell & Reed Advisors Funds and Waddell & Reed Investment Management Company (WRIMCO)
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Investment Management Agreement between Ivy Funds Variable Insurance Portfolios and Waddell & Reed Investment Management Company (April 10, 2009)
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Investment Management Agreement between Ivy Funds Variable Insurance Portfolios and Waddell & Reed Investment Management Company (April 10, 2009)
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Shareholder Servicing Agreement between Waddell & Reed Advisors Funds and Waddell & Reed Services Company (2009)
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
KS
2010
Shareholder Servicing Agreement between Ivy Funds and Waddell & Reed Services Company (WRSCO)
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
KS
2010
Shareholder Servicing Agreement between W&R Funds, Inc. and Waddell & Reed Services Company (as amended)
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
KS
2010
Underwriting Agreement between Waddell & Reed Advisors Funds and Waddell & Reed, Inc. dated January 30, 2009
Underwriting Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Underwriting Agreement between Ivy Funds Variable Insurance Portfolios and Waddell & Reed, Inc. (April 15, 2009)
Underwriting Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Ivy Funds Variable Insurance Portfolios Service Plan with Waddell & Reed, Inc. (Effective April 30, 2009)
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Second Amendment to Change in Control Employment Agreement between Waddell & Reed Financial, Inc. and Henry J. Herrmann
Change of Control Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
2010 Executive Incentive and Restricted Stock Award Performance Criteria Agreement under 2003 Executive Incentive Plan and 1998 Stock Incentive Plan
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2009
Certificate of Designation for Series B Junior Participating Preferred Stock of Waddell & Reed Financial, Inc.
Articles of Amendment
Waddell & Reed Financial, Inc.
Capital Markets
2009
Rights Agreement between Waddell & Reed Financial, Inc. and Computershare Trust Company, N.A. dated April 8, 2009
Registration Rights Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2009
Administrative Services Agreement between Nationwide Life Insurance Companies and Waddell & Reed, Inc.
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
OH
2009
Waddell & Reed Financial, Inc. 1998 Stock Incentive Plan (As Amended and Restated)
Warrant Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2009
First Amendment to Change in Control Employment Agreement between Waddell & Reed Financial, Inc. and Henry J. Herrmann
Change of Control Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2009
Waddell & Reed Financial, Inc. 2003 Executive Incentive Plan (Amended and Restated Effective January 1, 2008)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2008
Target Funds Participation Agreement between Minnesota Life Insurance Company and Waddell & Reed, Inc.
Participation Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008
Accounting Services Agreement between Waddell & Reed Advisors Asset Strategy Fund, Inc. and Waddell & Reed Services Company
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008
Investment Management Agreement between Waddell & Reed Advisors Asset Strategy Fund, Inc. and Waddell & Reed Investment Management Company
Advisory Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008
Investment Management Agreement between Ivy Funds, Inc. and Ivy Investment Management Company (Amended and Restated November 16, 2005)
Advisory Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008
Investment Management Agreement between W&R Target Funds, Inc. and Waddell & Reed Investment Management Company (as amended November 9, 2005)
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008
Shareholder Servicing Agreement between W&R Funds, Inc. and Waddell & Reed Services Company (as amended)
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
KS
2008
Amendment to Principal Underwriting Agreement between Waddell & Reed Advisors Asset Strategy Fund, Inc. and Waddell & Reed, Inc.
Underwriting Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008
Distribution Agreement between Ivy Funds, Inc. and Ivy Funds Distributor, Inc. (Amended and Restated September 3, 2003)
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008
Ivy Funds, Inc. Amended and Restated Distribution and Service Plan (Rule 12b-1) with Ivy Fund Distributors, Inc.
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008
W&R Target Funds, Inc. Service Plan with Waddell & Reed, Inc.
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008
Summary of Executive Compensation Arrangements for Waddell & Reed Financial, Inc. Officers (2008)
Compensation Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008
Summary of Board of Director Compensation Effective January 1, 2008
Compensation Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008
Waddell & Reed Financial, Inc. Non-Qualified Stock Option Grant Agreement
Warrant Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008
First Amendment to Waddell & Reed Financial, Inc. Non-Qualified Stock Option Grant Agreement with Henry J. Herrmann Trust
Stock Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008
2008 Executive Incentive and Restricted Stock Award Performance Criteria Agreement (Herrmann, Avery, Butch, Connealy, Schulte, Strohm, Sundeen)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2007
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2007
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement
Equity Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2007
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement for Non-Employee Directors
Compensation Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2007
Waddell & Reed Financial, Inc. 1998 Stock Incentive Plan (As Amended and Restated)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2007
First Amendment to Waddell & Reed Financial, Inc. 1998 Stock Incentive Plan (As Amended and Restated)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2007
Summary of Executive Compensation Arrangements for Waddell & Reed Financial, Inc. Officers (2007)
Compensation Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2007
Summary of Board of Director Compensation Effective January 1, 2007
Compensation Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2007
2007 Executive Incentive and Restricted Stock Award Performance Criteria Agreement (Herrmann, Avery, Butch, Connealy, Schulte, Strohm, Sundeen)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2007
Offer of Settlement by Waddell & Reed Entities with SEC Regarding Market Timing Practices
Settlement Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2006
Assurance of Discontinuance Between New York Attorney General and Waddell & Reed, Inc. Regarding Mutual Fund Market Timing
Settlement Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2006
Stipulation for Consent Order Between Kansas Securities Commissioner and Waddell & Reed Entities
Settlement Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2006
Waddell & Reed Financial, Inc. Supplemental Executive Retirement Plan (Amended and Restated as of January 1, 2005)
Retirement Agreements
Waddell & Reed Financial, Inc.
Capital Markets
KS
2006
Waddell & Reed Financial, Inc. 2003 Executive Incentive Plan (Amended and Restated Effective January 1, 2006)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2006
First Amendment to Consulting Agreement between Waddell & Reed, Inc. and Robert L. Hechler
Consulting Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2006
Summary of Compensation Arrangements with Executive Officers of Waddell & Reed Financial, Inc.
Compensation Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2006
2006 Executive Incentive and Restricted Stock Award Performance Criteria Agreement (Herrmann, Avery, Butch, Connealy, Schulte, Strohm, Sundeen)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2006
Underwriting Agreement for $200,000,000 5.60% Notes due 2011 between Waddell & Reed Financial, Inc. and Underwriters
Underwriting Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2006
Second Supplemental Indenture for 5.60% Notes due 2011 between Waddell & Reed Financial, Inc. and J.P. Morgan Trust Company
Indenture Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2006
Summary of Board of Director Compensation Effective January 1, 2006
Compensation Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2005
Waddell & Reed Financial, Inc. 1998 Stock Incentive Plan (As Amended and Restated)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2005
Waddell & Reed Financial, Inc. 1998 Executive Stock Award Plan (As Amended and Restated)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2005
Waddell & Reed Financial, Inc. 1998 Non-Employee Director Stock Award Plan (As Amended and Restated)
Stock Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2005
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement under 1998 Stock Incentive Plan
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2005
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2005
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement with Awardee
Equity Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2005
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement for Non-Employee Directors
Equity Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2005
$200,000,000 Credit Agreement among Waddell & Reed Financial, Inc., Lenders, JPMorgan Chase Bank, and Bank of America, N.A.
Credit Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2005
Interest Rate Swap Confirmation Agreement between The Bank of Nova Scotia and Waddell & Reed Financial, Inc.
Financing Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2005
Interest Rate Swap Confirmation and Amendment between JPMorgan Chase Bank, N.A. and Waddell & Reed Financial, Inc.
Financing Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2005
Consulting Agreement between Waddell & Reed Financial, Inc. and Keith A. Tucker
Consulting Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2005
Mutual Release Agreement between Keith A. Tucker and Waddell & Reed Financial, Inc.
Release Agreements
Waddell & Reed Financial, Inc.
Capital Markets
KS
2005
Variable Products Distribution Agreement among Minnesota Life Insurance Company, Securian Financial Services, Inc., and Waddell & Reed, Inc.
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
MN
2005
Summary of Compensation Arrangements for Executive Officers of Waddell & Reed Financial, Inc.
Compensation Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2005
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement under 1998 Executive Deferred Stock Award Plan
Stock Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2005
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement
Stock Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2005
Summary of Annual Non-Employee Director Compensation Effective January 1, 2005
Compensation Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2005
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement
Equity Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2005
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement for Non-Employee Directors
Equity Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2005
2005 Executive Incentive Plan Performance Criteria Agreement between Company and Executive Officers
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2005
Fourth Amendment to Waddell & Reed Financial, Inc. 1998 Stock Incentive Plan
Modification Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2004
Fourth Amendment to Waddell & Reed Financial, Inc. 1998 Executive Deferred Compensation Stock Award Plan
Compensation Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2004
Third Amendment to Waddell & Reed Financial, Inc. 1998 Non-Employee Director Stock Award Plan
Stock Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2004
Waddell & Reed Financial, Inc. Supplemental Executive Retirement Plan (Amended and Restated as of July 14, 2004)
Retirement Agreements
Waddell & Reed Financial, Inc.
Capital Markets
KS
2004
Waddell & Reed Financial, Inc. 2003 Executive Incentive Plan (Amended and Restated Effective July 14, 2004)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2004
Third Amendment to Waddell & Reed Financial, Inc. 1998 Stock Incentive Plan
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2004
Third Amendment to Waddell & Reed Financial, Inc. 1998 Executive Deferred Compensation Stock Option Plan
Modification Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2004
Termination and Replacement Agreement among Waddell & Reed Financial, Inc., Lenders, and JPMorgan Chase Bank (October 10, 2003)
Termination Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2004
Second Amendment to Waddell & Reed Financial, Inc. 1998 Stock Incentive Plan
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2003
Second Amendment to Waddell & Reed Financial, Inc. 1998 Executive Deferred Compensation Stock Award Plan
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2003
First Amendment to Waddell & Reed Financial, Inc. 1999 Management Incentive Plan
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2003
Second Amendment to Waddell & Reed Financial, Inc. 2003 Executive Incentive Plan
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2003
First Amendment to Waddell & Reed Financial, Inc. 1998 Stock Incentive Plan
Stock Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2003
Second Amendment to Waddell & Reed Financial, Inc. 1998 Non-Employee Director Stock Option Plan
Stock Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2003
First Amendment to Waddell & Reed Financial, Inc. 1998 Executive Deferred Compensation Stock Award Plan
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2003
Termination and Replacement Agreement among Waddell & Reed Financial, Inc., Lenders, and JPMorgan Chase Bank (October 11, 2002)
Modification Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2003
Stock Purchase Agreement by and among Waddell & Reed Financial, Inc., Mackenzie Financial Corporation, Mackenzie Investment Management, Inc., and Ivy Acquisition Corporation...
Purchase Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2002
ISDA Master Agreement between JPMorgan Chase Bank and Waddell & Reed Financial, Inc. dated March 12, 2002
Financing Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2002
Credit Agreement among Waddell & Reed Financial, Inc., The Lenders, and The Chase Manhattan Bank (October 12, 2001)
Credit Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2002
UMB Bank Master Note Agreement with Waddell & Reed Financial, Inc. (July 21, 2000)
Note Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2002
Waddell & Reed Financial, Inc. 1999 Management Incentive Plan
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2002
Investment Management Agreement between Waddell & Reed Invested Portfolios, Inc. and Waddell & Reed Investment Management Company (August 22, 2001)
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2002
Administrative and Shareholder Servicing Agreement between Waddell & Reed InvestEd Portfolios, Inc. and Waddell & Reed Services Company
Administration Agreements
Waddell & Reed Financial, Inc.
Capital Markets
KS
2002
Underwriting Agreement between Waddell & Reed InvestEd Portfolios, Inc. and Waddell & Reed, Inc. (August 22, 2001)
Underwriting Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2002
Administrative Agreement between W & R Insurance Agency, Inc., Waddell & Reed Inc., and BISYS Insurance Services, Inc.
Administration Agreements
Waddell & Reed Financial, Inc.
Capital Markets
PA
2002
Consulting Agreement between Waddell & Reed, Inc. and Robert L. Hechler (Effective January 1, 2002)
Consulting Agreements
Waddell & Reed Financial, Inc.
Capital Markets
KS
2002
Waddell & Reed Financial, Inc. Change in Control Employment Agreement (December 14, 2001)
Change of Control Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2002
Compensation and Product Development Agreement between United Investors Life and Waddell & Reed, Inc. (July 1999)
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2002
Administrative Agreement between W & R Insurance Agency, Inc., Waddell & Reed, Inc., and BISYS Insurance Services, Inc.
Administration Agreements
Waddell & Reed Financial, Inc.
Capital Markets
PA
2001
Agreement and Plan of Merger between Waddell & Reed Financial, Inc. and WDR Sub, Inc. (February 14, 2001)
Merger Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2001
First Amendment to Rights Agreement between Waddell & Reed Financial, Inc. and First Chicago Trust Company of New York
Investor Rights Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2001
General Agent Agreement between Nationwide Life Insurance Companies and Waddell & Reed, Inc.
Agency Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2001
Fund Participation Agreement between Nationwide Life Insurance Company and Waddell & Reed Services Company
Participation Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2001
Letter Agreement Between United Investors Life and Waddell & Reed, Inc. Regarding Variable Annuity Compensation and Product Features (July 1999)
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2001
Credit Agreement among Waddell & Reed Financial, Inc., The Lenders, and The Chase Manhattan Bank (October 13, 2000)
Credit Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2001
Fixed Rate Promissory Note between Waddell & Reed Financial, Inc. and The Chase Manhattan Bank (August 15, 2000)
Note Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2001
Accounting Services Agreement between [Fund] and Waddell & Reed Services Company
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2001
Investment Management Agreement between Waddell & Reed Investment Management Company and Fund
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2001
Investment Management Agreement between Waddell & Reed Funds, Inc. and Waddell & Reed Investment Management Company (1992)
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2001
Investment Management Agreement between TMK/United Funds, Inc. and Waddell & Reed, Inc.
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2001
Shareholder Servicing Agreement between [Company] and Waddell & Reed Services Company
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
KS
2001
Distribution and Service Plan for Class A Shares between [Fund] and Waddell & Reed, Inc.
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2001
W&R Funds, Inc. Distribution and Service Plan for Class A Shares with Waddell & Reed, Inc.
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2001
Distribution and Service Plan for Class B Shares between [Fund] and Waddell & Reed, Inc.
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2001
Distribution and Service Plan for Class C Shares between [Fund] and Waddell & Reed, Inc.
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2001
Waddell & Reed Funds, Inc. Distribution and Service Plan for Class Y Shares (Waddell & Reed, Inc.)
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2001
Target/United Funds, Inc. Service Plan with Waddell & Reed, Inc.
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2001
Investment Management Agreement between Ivy Variable Insurance Portfolios and Ivy Investment Management Company (2016)
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2019
Investment Management Agreement between Ivy Variable Insurance Portfolios and Ivy Investment Management Company (2016)
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2019
Investment Management Agreement between Ivy Funds and Ivy Investment Management Company (IICO)
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2019
Certificate of Elimination of Series B Junior Participating Preferred Stock of Waddell & Reed Financial, Inc.
Articles of Amendment
Waddell & Reed Financial, Inc.
Capital Markets
2018
Certificate of Elimination of Series B Junior Participating Preferred Stock of Waddell & Reed Financial, Inc.
Articles of Amendment
Waddell & Reed Financial, Inc.
Capital Markets
2018
Investment Management Agreement between Waddell & Reed InvestEd Portfolios and Waddell & Reed Investment Management Company (April 30, 2009)
Advisory Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2013
Investment Management Agreement between Ivy Funds and Ivy Investment Management Company (IICO)
Advisory Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2012
Accounting and Administrative Services Agreement between Ivy Funds and Waddell & Reed Services Company
Administration Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Accounting and Administrative Services Agreement between Ivy Funds and Waddell & Reed Services Company
Administration Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Accounting and Administrative Services Agreement between Ivy Funds, Inc. and Waddell & Reed Services Company
Administration Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Investment Management Agreement between Ivy Funds and Ivy Investment Management Company (IICO)
Advisory Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Investment Management Agreement between Ivy Funds and Ivy Investment Management Company (Amended and Restated November 16, 2005)
Advisory Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Investment Management Agreement between Ivy Funds, Inc. and Ivy Investment Management Company (Amended and Restated November 15, 2005)
Advisory Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Distribution Agreement between Ivy Funds and Ivy Funds Distributor, Inc. (IFDI)
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Distribution and Service Plan for Class A Shares between Waddell & Reed Advisors Funds and Waddell & Reed, Inc.
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Distribution and Service Plan for Class B Shares between Waddell & Reed Advisors Funds and Waddell & Reed, Inc.
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Distribution and Service Plan for Class C Shares between Waddell & Reed Advisors Funds and Waddell & Reed, Inc.
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Ivy Funds Distribution and Service Plan for Class A, B, C, E, and Y Shares
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Ivy Funds Amended Distribution and Service Plan for Multiple Share Classes (Ivy Funds and Ivy Funds Distributor, Inc.)
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Ivy Funds, Inc. Amended and Restated Distribution and Service Plan for Multiple Share Classes
Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Master Business Management and Investment Advisory Agreement between Ivy Fund and Waddell & Reed Ivy Investment Company (2002)
Advisory Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Indemnification Agreement between Waddell & Reed Financial, Inc. and Indemnitee (November 13, 2009)
Indemnification Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2009
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement under 1998 Stock Incentive Plan
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2009
Waddell & Reed Financial, Inc. Supplemental Executive Retirement Plan (Amended and Restated as of January 1, 2005)
Retirement Agreements
Waddell & Reed Financial, Inc.
Capital Markets
KS
2009
Summary of 2008 Executive Compensation Arrangements for Waddell & Reed Financial, Inc. Officers
Compensation Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2009
Summary of Board of Director Compensation Effective January 1, 2009
Compensation Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2009
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement with Employee
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2009
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement with Employee
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2009
2009 Executive Incentive and Restricted Stock Award Performance Criteria Agreement (Herrmann, Avery, Butch, Connealy, Schulte, Strohm, Sundeen)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2009