ATTENTION:
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Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker. |
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OMB Number: 3235-0101 |
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Expires: December 31, 2006 |
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Estimated average burden |
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hours
per response ..... 4.47 |
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SEC USE ONLY |
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DOCUMENT SEQUENCE NO. |
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CUSIP NUMBER |
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WORK
LOCATION |
1(a) NAME OF ISSUER (Please type or print)
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(b) IRS IDENT. NO. | (c) S.E.C. FILE NO. | ||||||||
TD Ameritrade Holding Corporation
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82-0543156 | 000-49992 |
1(d) ADDRESS OF ISSUER
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STREET | CITY | STATE | ZIP CODE | (e) TELEPHONE NO. | |||||||||||||||||||
AREA CODE | NUMBER | |||||||||||||||||||||||
4211
South 102nd St.
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Omaha | NE | 68127 | 402 | 331-7856 |
2(a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD |
(b) SOCIAL SECURITY NO.
OR IRS IDENT. NO.
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(c) RELATIONSHIP TO
ISSUER |
(d) ADDRESS | STREET | CITY | STATE | ZIP CODE | ||||||||||||||||||||
Joseph H. Moglia
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124-36-8763 | Officer | 4211 South 102nd St., Omaha, NE 68127 | ||||||||||||||||||||||||
3(a) | (b) | SEC USE ONLY | (c) | (d) | (e) | (f) | (g) | ||||||||||||||||
Title of the | Number of Shares | Aggregate | Number of Shares | Approximate | Name of Each | ||||||||||||||||||
Class of | Name and Address of Each Broker Through | or Other Units | Market | or Other Units | Date of Sale | Securities | |||||||||||||||||
Securities | Whom the Securities are to be Offered or Each | Broker-Dealer | To Be Sold | Value | Outstanding | (See Instr. 3(f)) | Exchange | ||||||||||||||||
To Be Sold | Market Maker who is Acquiring the Securities | File Number | (See Instr. 3(c)) | (See Instr. 3(d)) | (See Instr. 3(e)) | (MO. DAY YR.) | (See Instr. 3(g)) | ||||||||||||||||
Common Stock |
Ameritrade, Inc. 1005 North Ameritrade Place Bellevue, NE 68005 |
4,131,681 |
$80,195,928 (as of April 24, 2006) |
604,481,120 (as of April 21, 2006) |
4/26/06 |
NASDAQ, NSX, ARCA |
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1.
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(a) | Name of issuer | ||
(b) | Issuers I.R.S. Identification Number | |||
(c) | Issuers S.E.C. file number, if any | |||
(d) | Issuers address, including zip code | |||
(e) | Issuers telephone number, including area code | |||
2.
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(a) | Name of person for whose account the securities are to be sold | ||
(b) | Such persons Social Security or I.R.S. identification number | |||
(c) | Such persons relationship to the Issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing) | |||
(d) | Such persons address, including zip code | |||
3.
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(a) | Title of the class of securities to be sold | ||
(b) | Name and address of each broker through whom the securities are intended to be sold | |||
(c) | Number of shares or other units to be sold (if debt securities, give the aggregate face amount) | |||
(d) | Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice | |||
(e) | Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the Issuer | |||
(f) | Approximate date on which the securities are to be sold | |||
(g) | Name of each securities exchange, if any, on which the securities are intended to be sold |
Title of | Date you | Name of Person from Whom Acquired | Amount of | Date of | |||||||||||||||||||||||
the Class | Acquired | Nature of Acquisition Transaction | (If gift, also give date donor acquired) | Securities Acquired | Payment | Nature of Payment | |||||||||||||||||||||
Common Stock | (1) | Exercise of stock options pursuant to issuers 1996 Long Term Incentive Plan and 2001 Stock Option Plan | TD Ameritrade Holding Corporation | 3,991,681 | (1) | (1) | |||||||||||||||||||||
Common Stock |
7/26/02 |
Private sale |
Estate of Dan Gude |
140,000 |
(2) |
(2) |
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INSTRUCTIONS: 1.
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If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid. |
Amount of | ||||||||||||||
Name and Address of Seller | Title of Securities Sold | Date of Sale | Securities Sold | Gross Proceeds | ||||||||||
None |
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(1) | Cashless exercise, with aggregate exercise price of the options netted from the proceeds received from the sale of common stock at the time of the sale. | ||
(2) | The purchase price was paid by the Moglia Family Trust in cash and from margin borrowings, which were repaid in full in March 2004. |
INSTRUCTIONS: | ATTENTION: | |
See the definition of
person in paragraph
(a) of Rule 144.
Information is to be
given not only as to the
person for whose account
the securities are to be
sold but also as to all
other persons included
in that definition. In
addition, information
shall be given as to
sales by all persons
whose sales are required
by paragraph (e) of Rule
144 to be aggregated
with sales for the
account of the person
filing this notice.
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The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. |
4/25/04 | /s/ Joseph H. Moglia | |
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DATE OF NOTICE | (SIGNATURE) | |
The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed. |
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Any copies not manually signed shall bear typed or printed signatures. |