e11vk
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 11-K
(Mark One)
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ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the fiscal year ended December 31, 2009
OR
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TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the Transition Period from ________ to _________
Commission File Number 0-49992
A. |
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Full title of the Plan and the address of the Plan, if different from that of the issuer named
below: |
TD AMERITRADE HOLDING CORPORATION ASSOCIATES
401(k) PROFIT SHARING PLAN AND TRUST
B. |
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Name of issuer of the securities held pursuant to the Plan and the address of its principal
executive office: |
TD
AMERITRADE HOLDING CORPORATION
4211 SOUTH 102nd STREET
OMAHA, NE 68127-1031
TD AMERITRADE Holding Corporation
Associates 401(k) Profit Sharing Plan and Trust
Financial Statements and Supplemental Schedule
Years Ended December 31, 2009 and 2008
Contents
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1 |
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Financial Statements |
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3 |
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4 |
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5 |
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Supplemental Schedule |
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16 |
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EX-23.1 |
Report of Independent Registered Public Accounting Firm
The Board of Directors of
TD AMERITRADE Holding Corporation
We have audited the accompanying statements of net assets available for benefits of TD AMERITRADE
Holding Corporation Associates 401(k) Profit Sharing Plan and Trust as of December 31, 2009 and
2008, and the related statements of changes in net assets available for benefits for the years then
ended. These financial statements are the responsibility of the Plans management. Our
responsibility is to express an opinion on these financial statements based on our audits.
We conducted our audits in accordance with the standards of the Public Company Accounting Oversight
Board (United States). Those standards require that we plan and perform the audit to obtain
reasonable assurance about whether the financial statements are free of material misstatement. We
were not engaged to perform an audit of the Plans internal control over financial reporting. Our
audits included consideration of internal control over financial reporting as a basis for designing
audit procedures that are appropriate in the circumstances, but not for the purpose of expressing
an opinion on the effectiveness of the Plans internal control over financial reporting.
Accordingly, we express no such opinion. An audit also includes examining, on a test basis,
evidence supporting the amounts and disclosures in the financial statements, assessing the
accounting principles used and significant estimates made by management, and evaluating the overall
financial statement presentation. We believe that our audits provide a reasonable basis for our
opinion.
In our opinion, the financial statements referred to above present fairly, in all material
respects, the net assets available for benefits of the Plan at December 31, 2009 and 2008, and the
changes in its net assets available for benefits for the years then ended, in conformity with U.S.
generally accepted accounting principles.
1
Our audits were performed for the purpose of forming an opinion on the financial statements taken
as a whole. The accompanying supplemental schedule of assets (held at end of year) as of December
31, 2009, is presented for purposes of additional analysis and is not a required part of the
financial statements but is supplementary information required by the Department of Labors Rules
and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of
1974. This supplemental schedule is the responsibility of the Plans management. The supplemental
schedule has been subjected to the auditing procedures applied in our audits of the financial
statements and, in our opinion, is fairly stated in all material respects in relation to the
financial statements taken as a whole.
Minneapolis, Minnesota
June 24, 2010
2
TD AMERITRADE Holding Corporation
Associates 401(k) Profit Sharing Plan and Trust
Statements of Net Assets Available for Benefits
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December 31, |
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2009 |
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2008 |
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Assets |
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Cash |
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$ |
229,699 |
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$ |
28,131 |
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Investments, at fair value (Notes 3, 4 and 5) |
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303,036,382 |
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206,963,023 |
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Employer contribution receivable |
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12,616,999 |
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13,136,206 |
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Due from brokers |
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245,209 |
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511,758 |
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Total assets |
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316,128,289 |
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220,639,118 |
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Liabilities |
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Due to brokers |
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605,506 |
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478,302 |
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Contributions refundable to participants |
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296,858 |
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Total liabilities |
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605,506 |
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775,160 |
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Net assets available for benefits |
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$ |
315,522,783 |
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$ |
219,863,958 |
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The accompanying notes are an integral part of the financial statements.
3
TD AMERITRADE Holding Corporation
Associates 401(k) Profit Sharing Plan and Trust
Statements of Changes in Net Assets Available for Benefits
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For the Year Ended |
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December 31, |
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2009 |
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2008 |
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Additions to (subtractions from) net assets attributed
to: |
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Investment income (loss): |
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Net appreciation (depreciation) in fair value of
investments (Note 3) |
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$ |
67,768,537 |
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$ |
(94,550,130 |
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Dividend income |
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3,857,368 |
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3,811,973 |
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Interest income |
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362,817 |
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438,307 |
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Net investment income (loss) |
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71,988,722 |
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(90,299,850 |
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Contributions: |
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Employer contributions |
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20,252,004 |
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20,964,731 |
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Participant contributions |
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24,238,533 |
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24,614,099 |
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Total contributions |
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44,490,537 |
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45,578,830 |
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Deductions from net assets attributed to: |
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Distributions to plan participants |
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20,375,564 |
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22,739,991 |
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Administrative fees (Notes 2 and 5) |
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444,870 |
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434,053 |
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20,820,434 |
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23,174,044 |
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Net increase (decrease) |
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95,658,825 |
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(67,895,064 |
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Net assets available for benefits: |
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Beginning of year |
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219,863,958 |
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287,759,022 |
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End of year |
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$ |
315,522,783 |
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$ |
219,863,958 |
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The accompanying notes are an integral part of the financial statements.
4
TD AMERITRADE Holding Corporation
Associates 401(k) Profit Sharing Plan and Trust
Notes to Financial Statements
December 31, 2009 and 2008
1. Description of Plan
The following description of the TD AMERITRADE Holding Corporation Associates 401(k) Profit Sharing
Plan and Trust (the Plan) provides only general information. Participants should refer to the Plan
Document for a more complete description of the Plans provisions.
General
The Plan is a defined contribution profit sharing and 401(k) plan sponsored by TD
AMERITRADE Online Holdings Corp. (TDAOH). The Plan covers employees of TD AMERITRADE Holding
Corporation (the Parent) and its participating affiliated companies (collectively, the Company) who
meet eligibility requirements. The Plan covers employees who are 21 years old or older. The Plan is
subject to the provisions of the Employee Retirement Income Security Act of 1974 (ERISA), as
amended.
Contributions Participants may contribute up to 75% of their compensation on a salary deferral
basis, subject to limitations specified in the Internal Revenue Code. During an enrollment process,
employees of the Company select their salary deferral percentage or they may elect not to
participate in the Plan. Employees of the Company who do not complete the enrollment process with
the Plans recordkeeper are subject to a default election in an amount equal to 3% of such
employees compensation. Participants direct the investment of all contributions into various
options offered by the Plan. In addition, participants may transfer fund balances between the
various fund options, including Company common stock and self-directed brokerage accounts. In the
event a participant does not direct the investment of their account, the trustee has been directed
by the Plan to invest the participants contributions into the lifecycle fund that best
approximates when the participant would reach age 65. The Company contributes to the Plan as a
matching contribution 50% of the participants contributions to the Plan that do not exceed 6% of
the participants compensation. The Company may also make discretionary contributions to the Plan.
Highly compensated employees who are participants in the TD AMERITRADE Holding
Corporation Management Incentive Plan, or its successor plan or plans, shall not be eligible to
receive Company matching or discretionary contributions.
5
TD AMERITRADE Holding Corporation
Associates 401(k) Profit Sharing Plan and Trust
Notes to Financial Statements (continued)
Participant Accounts Individual accounts are maintained for each participant. Each
participant account is credited with the participant contributions, the Company matching
contribution, the Company discretionary contribution (if any), an allocation of forfeitures (if
applicable) and an allocation of the Plans earnings or losses, and charged with an allocation of
administrative fees, provided however, that forfeitures are first used to pay administrative fees
and any excess fees are then charged to participant accounts. The benefit to which a participant is
entitled is the benefit that can be provided from the participants vested account.
Vesting Company contributions and earnings or losses thereon vest 20% after the first year of
continuous service and vest an additional 20% each year, with 100% vesting occurring for all
participants after five years of service. Participants immediately vest in their contributions plus
actual earnings or losses thereon.
Participant Loans Participants may borrow from their Plan accounts up to the lesser of 50% of
their vested account balance or $50,000. The loans are secured by the balance in the participants
account and bear interest at the prime rate plus 1%, determined as of the date of the loan.
Principal and interest is paid ratably through payroll deductions over a period not to exceed five
years except for loans used to acquire a principal residence, for which the repayment period may
exceed five years.
Payment of Benefits On termination of service, a participant may elect to receive either a
lump-sum payment or installment payments.
Forfeited Accounts Forfeitures are first used to reinstate prior forfeitures for former employees
who return to employment with the Company, then to pay the Plans administrative expenses and
lastly to supplement the Companys contributions. In addition to the Company contributions,
forfeitures of $258,583 and $1,333,148 were allocated to participant accounts for the years ended
December 31, 2009 and 2008, respectively. As of December 31, 2009 and 2008, unallocated forfeitures
of $670,287 and $1,260,987, respectively, were included in investments and were available to pay
Plan administrative expenses and supplement Company contributions in the
subsequent year. In addition, as of December 31, 2009, unallocated forfeitures of $1,395,185 were
included in investments and may be available to pay Plan administrative expenses and supplement
Company contributions for years 2010 through 2017, if not previously used to reinstate prior
forfeitures for former employees who have returned to employment with the Company.
6
TD AMERITRADE Holding Corporation
Associates 401(k) Profit Sharing Plan and Trust
Notes to Financial Statements (continued)
Plan Termination Although it has not expressed any intent to do so, the Company has the right
under the Plan to discontinue its contributions at any time and to terminate the Plan subject to
the provisions of ERISA. In the event of Plan termination, participants will become 100% vested in
their accounts.
2. Summary of Significant Accounting Policies
Basis of Accounting The accompanying financial statements have been prepared on the accrual basis
of accounting in accordance with U.S. generally accepted accounting principles (GAAP).
Use of Estimates The preparation of financial statements in conformity with GAAP requires
management to make estimates and assumptions that affect the reported amounts of net assets
available for benefits and changes therein. Actual results could differ from those estimates.
Risks and Uncertainties The Plan utilizes various investment instruments. Investment securities,
in general, are exposed to various risks, such as interest rate, credit, and market risks. Due to
the level of risk associated with certain investment securities, it is reasonably possible that
changes in the values of investment securities will occur in the near term and that such changes
could materially affect participant account balances and the amounts reported in the financial
statements.
Investment Valuation Investments are stated at fair value as follows:
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Equity securities, including TD AMERITRADE Holding Corporation and The
Toronto-Dominion Bank Common Stock - Fair value is determined by quoted market prices. |
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Mutual Funds Fair value is determined by quoted net asset value. |
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Debt Securities The primary inputs to the valuation of debt securities include quoted
prices for identical or similar assets in markets that are not active, contractual cash
flows, benchmark yields and credit spreads. |
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Participant Loans Loans to participants are carried at the principal amount
outstanding, which the Company believes approximates fair value. |
Income Recognition Security transactions are recorded as of the trade date. Dividends are
recorded on the ex-dividend date. Interest income is recorded on the accrual basis.
7
TD AMERITRADE Holding Corporation
Associates 401(k) Profit Sharing Plan and Trust
Notes to Financial Statements (continued)
Administrative Costs The Company pays certain administrative costs for the Plan. Only costs
paid by the Plan are reflected in the Plans financial statements.
Payment of Benefits Benefits are recorded when paid.
Recently Adopted Accounting Pronouncements On December 31, 2009, the Plan adopted Financial
Accounting Standards Board (FASB) Statement No. 168, The FASB Accounting Standards Codification
and The Hierarchy of Generally Accepted Accounting Principles. The Accounting Standards
Codification (ASC or Codification) became the source of authoritative GAAP recognized by the FASB
to be applied by nongovernmental entities. GAAP is not intended to be changed as a result of this
statement, but will change the way the guidance is organized and presented. The Plan has
implemented the Codification in the financial statements by providing references to the ASC topics.
In April 2009, the FASB Staff Position (FSP) 157-4, Determining Fair Value When the Volume and
Level of Activity for the Asset or Liability Have Significantly Decreased and Identifying
Transactions That Are Not Orderly, was issued and later codified into ASC 820. FSP 157-4 expanded
fair value disclosures and required that major categories for debt and equity securities in the
fair value hierarchy table be determined on the basis of the nature and risks of the investments.
The adoption of FSP 157-4 did not have a material impact on the Plans financial statements.
ASC 855, Subsequent Events, defines general standards of accounting for and disclosure of events
that occur after the net assets available for benefits date, but before the financial statements
are issued or are available to be issued. The Plan implemented the provisions of ASC 855 for the
year ended December 31, 2009, and the implementation did not have a material impact on the Plans
financial statements.
Recently Issued Accounting Pronouncements In January 2010, the FASB issued Accounting Standards
Update (ASU) 2010-06, Fair Value Measurements and Disclosures. ASU 2010-06
requires new disclosures and clarifies existing disclosure requirements about fair value
measurements as set forth in ASC 820-10. ASU 2010-06 is effective for periods beginning after
December 15, 2009, except for the requirement to provide Level 3 activity of purchases, sales,
issuances, and settlements on a gross basis, which will be effective for fiscal years beginning
after December 15, 2010. Adoption of ASU 2010-06 is not expected to have a material impact on the
Plans financial statements.
8
TD AMERITRADE Holding Corporation
Associates 401(k) Profit Sharing Plan and Trust
Notes to Financial Statements (continued)
3. Investments
The following table presents individual investments that represent 5% or more of the Plans net
assets available for benefits.
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December 31, |
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2009 |
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2008 |
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Investments at fair value as determined by
quoted market price or quoted net asset value: |
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TD AMERITRADE Holding Corporation common stock |
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$ |
63,463,653 |
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$ |
50,873,557 |
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T. Rowe Price Mid Cap Growth Fund |
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27,010,803 |
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17,218,727 |
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Vanguard Reserve Prime Money Market Institutional Fund |
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23,677,389 |
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20,768,020 |
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Lazard Emerging Markets Open Fund |
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19,539,733 |
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* |
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American Funds Growth Fund of America R5 |
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17,678,860 |
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11,626,999 |
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T. Rowe Price Small Cap Value Fund |
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16,108,123 |
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11,360,638 |
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* |
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Investment represented less than 5% of Plan assets as of December 31, 2008. |
9
TD AMERITRADE Holding Corporation
Associates 401(k) Profit Sharing Plan and Trust
Notes to Financial Statements (continued)
During 2009 and 2008, the Plans investments (including investments bought, sold and held
during the year) appreciated (depreciated) in value, as follows:
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Years Ended December 31, |
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2009 |
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2008 |
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Net change in fair value: |
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TD AMERITRADE Holding Corporation common stock |
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$ |
18,004,208 |
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$ |
(20,698,697 |
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The Toronto-Dominion Bank common stock |
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2,846,016 |
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(3,912,483 |
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Mutual funds |
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42,386,660 |
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(59,942,878 |
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Self-directed brokerage accounts |
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4,531,653 |
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(9,996,072 |
) |
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Net appreciation (depreciation) in fair value of investments |
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$ |
67,768,537 |
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$ |
(94,550,130 |
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4. Fair Value Disclosures
Fair Value Measurement Definition and Hierarchy
ASC 820-10, Fair Value Measurements and Disclosures, defines fair value as the price that would be
received to sell an asset or paid to transfer a liability (an exit price) in an orderly transaction
between market participants at the measurement date.
In determining fair value, the Plan uses various valuation approaches, including market, income
and/or cost approaches. ASC 820-10 establishes a hierarchy for inputs used in measuring fair value
that maximizes the use of observable inputs and minimizes the use of unobservable inputs by
requiring that the most observable inputs be used when available. Observable inputs reflect
the assumptions market participants would use in pricing the asset or liability, developed based on
market data obtained from sources independent of the Plan. Unobservable inputs reflect the Plans
own assumptions about the assumptions market participants would use in pricing the asset or
liability, developed based on the best information available in the circumstances. The fair value
hierarchy prioritizes the inputs to valuation techniques used to measure fair value into three
broad levels, as follows:
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Level 1 Quoted prices (unadjusted) in active markets for identical assets or
liabilities that the Plan has the ability to access. This category includes active
exchange-traded funds, mutual funds and equity securities. |
10
TD AMERITRADE Holding Corporation
Associates 401(k) Profit Sharing Plan and Trust
Notes to Financial Statements (continued)
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Level 2 Inputs other than quoted prices included in Level 1 that are
observable for the asset or liability, either directly or indirectly. Such inputs include
quoted prices in markets that are not active, quoted prices for similar assets and
liabilities in active markets, inputs other than quoted prices that are observable for the
asset or liability and inputs that are derived principally from or corroborated by
observable market data by correlation or other means. This category includes most debt
securities, other interest-sensitive financial instruments and mutual funds managed by The
Reserve, an independent mutual fund company, for which the net asset value has declined
below $1.00 per share and the funds are being liquidated. Level 2 assets are held in
self-directed brokerage accounts. |
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Level 3 Unobservable inputs for the asset or liability, where there is
little, if any, observable market activity or data for the asset or liability. This
category includes loans to participants. |
11
TD AMERITRADE Holding Corporation
Associates 401(k) Profit Sharing Plan and Trust
Notes to Financial Statements (continued)
The following tables present the Plans fair value hierarchy for assets and liabilities measured on
a recurring basis as of December 31, 2009 and 2008:
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As of December 31, 2009 |
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Level 1 |
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Level 2 |
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Level 3 |
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Fair Value |
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Assets |
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Investments, at fair value: |
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TD AMERITRADE Holding Corporation
common stock |
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$ |
63,463,653 |
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$ |
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$ |
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$ |
63,463,653 |
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The Toronto-Dominion Bank common stock |
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6,691,171 |
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6,691,171 |
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Mutual funds |
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Lifecycle |
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35,191,712 |
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35,191,712 |
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Foreign Large Cap Blend |
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31,790,506 |
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31,790,506 |
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Medium Cap Growth |
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27,075,880 |
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27,075,880 |
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Large Cap Growth |
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17,974,599 |
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17,974,599 |
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Fixed Income |
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17,565,529 |
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17,565,529 |
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Large Cap Blend |
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17,329,435 |
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17,329,435 |
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Small Cap Blend |
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16,157,006 |
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16,157,006 |
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Large Cap Value |
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11,987,831 |
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11,987,831 |
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Other |
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1,166,538 |
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48,813 |
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1,215,351 |
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Equity securities |
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19,586,614 |
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19,586,614 |
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Money market mutual funds |
|
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29,696,691 |
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29,696,691 |
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Corporate debt securities |
|
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364,678 |
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364,678 |
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U.S. government debt securities |
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165,602 |
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165,602 |
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Loans to participants |
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6,780,124 |
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6,780,124 |
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Total assets at fair value |
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$ |
295,677,165 |
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$ |
579,093 |
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$ |
6,780,124 |
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$ |
303,036,382 |
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12
TD AMERITRADE Holding Corporation
Associates 401(k) Profit Sharing Plan and Trust
Notes to Financial Statements (continued)
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As of December 31, 2008 |
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Level 1 |
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Level 2 |
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Level 3 |
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Fair Value |
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Assets |
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Investments, at fair value: |
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TD AMERITRADE Holding Corporation
common stock |
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$ |
50,873,557 |
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$ |
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$ |
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$ |
50,873,557 |
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The Toronto-Dominion Bank common stock |
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3,983,661 |
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3,983,661 |
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Mutual funds |
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Foreign Large Cap Blend |
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17,333,472 |
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17,333,472 |
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Medium Cap Growth |
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17,262,227 |
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17,262,227 |
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Lifecycle |
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17,112,621 |
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17,112,621 |
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Large Cap Growth |
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11,917,141 |
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11,917,141 |
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Fixed Income |
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12,351,408 |
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12,351,408 |
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Large Cap Blend |
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11,880,753 |
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11,880,753 |
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Small Cap Blend |
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11,414,634 |
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11,414,634 |
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Large Cap Value |
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8,734,249 |
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8,734,249 |
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Other |
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756,785 |
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162,691 |
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919,476 |
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Equity securities |
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12,986,931 |
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12,986,931 |
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Money market mutual funds |
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24,671,747 |
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24,671,747 |
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Corporate debt securities |
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201,625 |
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201,625 |
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U.S. government debt securities |
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170,983 |
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170,983 |
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Other |
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3,750 |
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3,750 |
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Loans to participants |
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5,144,788 |
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5,144,788 |
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Total assets at fair value |
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$ |
201,279,186 |
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$ |
539,049 |
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$ |
5,144,788 |
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$ |
206,963,023 |
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The Plan had no liabilities measured at fair value on a recurring basis as of December 31, 2009 and
2008.
There were no transfers between levels of the fair value hierarchy during the periods presented in
the tables below. The following tables present the changes in Level 3 assets measured on a
recurring basis for the years ended December 31, 2009 and 2008:
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Year Ended December 31, 2009 |
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December 31, |
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Issuances and |
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December 31, |
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2008 |
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Settlements, Net |
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2009 |
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Assets |
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Loans to participants |
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$ |
5,144,788 |
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$ |
1,635,336 |
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$ |
6,780,124 |
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Total assets at fair value |
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$ |
5,144,788 |
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$ |
1,635,336 |
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$ |
6,780,124 |
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13
TD AMERITRADE Holding Corporation
Associates 401(k) Profit Sharing Plan and Trust
Notes to Financial Statements (continued)
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Year Ended December 31, 2008 |
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January 1, |
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Issuances and |
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December 31, |
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2008 |
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Settlements, Net |
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2008 |
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Assets |
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Loans to participants |
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$ |
4,621,208 |
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$ |
523,580 |
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$ |
5,144,788 |
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Total assets at fair value |
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$ |
4,621,208 |
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$ |
523,580 |
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$ |
5,144,788 |
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5. Parties-in-Interest
The Plan holds shares of common stock of both the Parent and The Toronto-Dominion Bank. TDAOH is a
wholly-owned subsidiary of the Parent. As of December 31, 2009, The Toronto-Dominion Bank owned
approximately 45% of the Parents voting common stock. TD AMERITRADE, Inc., a wholly-owned
subsidiary of the Parent, acts as the broker for the Plans self-directed brokerage accounts.
Orchard Trust Company, LLC is the non-discretionary trustee as defined by the Plan. Administrative
and recordkeeping fees of $426,550 and $399,019 were paid to Great-West Retirement Services in 2009
and 2008, respectively. Orchard Trust Company, LLC and Great-West Retirement Services are
wholly-owned subsidiaries of Great-West Life and Annuity Insurance Company. These transactions
qualify as party-in-interest transactions.
At December 31, 2009, the Plan held 3,274,698 shares of Parent common stock with a cost basis of
$41,625,676 and 106,684 shares of The Toronto-Dominion Bank common stock with a cost basis of
$2,901,649.
6. Tax Status
The Plan has received a determination letter from the Internal Revenue Service, dated
April 3, 2003, stating that the Plan is qualified under Section 401(a) of the Code and, therefore,
the related trust is exempt from taxation. Subsequent to this determination by the Internal Revenue
Service, the Plan was amended. Once qualified, the Plan is required to operate in conformity with
the Code to maintain its qualification. The Plan administrator believes the Plan is being operated
in compliance with the applicable requirements of the Code and, therefore, believes that the Plan,
as amended, is qualified and the related trust is tax exempt.
14
TD AMERITRADE Holding Corporation
Associates 401(k) Profit Sharing Plan and Trust
Notes to Financial Statements (continued)
7. Subsequent Event
On June 11, 2009, the Company acquired thinkorswim Group Inc. On August 11, 2009, the Plan
Committee approved the merger of the thinkorswim Group Inc. 401(k) Plan into the Plan. On January
4, 2010, assets held in the thinkorswim Group Inc. 401(k) Plan with an approximate fair value of
$14,300,000 were transferred into the Plan.
15
TD AMERITRADE Holding Corporation
Associates 401(k) Profit Sharing Plan and Trust
Employer Identification Number 47-0642657, Plan No. 001
Supplemental Schedule
Form 5500,
Schedule H, Part IV, Line 4(i) Schedule of Assets
(Held at End of Year)
December 31, 2009
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Identity of Issue, Borrower, |
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Description of Investment Including Collateral, Rate |
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Lessor or |
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of Interest, Maturity Date, |
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Current |
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Similar Party |
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Par or Maturity Value |
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Value |
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TD AMERITRADE Holding Corporation* |
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Common stock, 3,274,698 shares |
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$ |
63,463,653 |
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TD AMERITRADE, Inc.* |
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Self-directed brokerage accounts (comprised of various
self-directed investments) |
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29,450,722 |
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The Toronto-Dominion Bank* |
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Common stock, 106,684 shares |
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6,691,171 |
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American Funds |
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American Funds Growth Fund of America R5,
648,052 shares |
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17,678,860 |
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Goldman Sachs |
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Goldman Sachs Large Cap Value Institutional Fund,
1,097,315 shares |
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11,708,354 |
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The Lazard Funds, Inc. |
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Lazard Emerging Markets Open Fund, 1,068,913 shares |
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19,539,733 |
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Pacific Investment Management Co. |
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PIMCO Total Return Institutional Fund, 1,079,132 shares |
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11,654,623 |
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T. Rowe Price |
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T. Rowe Price International Bond Fund, 215,189 shares |
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2,123,920 |
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T. Rowe Price |
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T. Rowe Price Mid Cap Growth Fund, 568,768 shares |
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27,010,803 |
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T. Rowe Price |
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T. Rowe Price Retirement 2005 Fund, 16,376 shares |
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170,962 |
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T. Rowe Price |
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T. Rowe Price Retirement 2010 Fund, 53,846 shares |
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751,156 |
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T. Rowe Price |
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T. Rowe Price Retirement 2015 Fund, 138,736 shares |
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1,480,318 |
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T. Rowe Price |
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T. Rowe Price Retirement 2020 Fund, 225,011 shares |
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3,285,154 |
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T. Rowe Price |
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T. Rowe Price Retirement 2025 Fund, 175,658 shares |
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1,863,728 |
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T. Rowe Price |
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T. Rowe Price Retirement 2030 Fund, 501,339 shares |
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7,580,249 |
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T. Rowe Price |
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T. Rowe Price Retirement 2035 Fund, 354,825 shares |
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3,778,885 |
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T. Rowe Price |
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T. Rowe Price Retirement 2040 Fund, 682,521 shares |
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10,340,189 |
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T. Rowe Price |
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T. Rowe Price Retirement 2045 Fund, 247,862 shares |
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2,503,410 |
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T. Rowe Price |
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T. Rowe Price Retirement 2050 Fund, 300,462 shares |
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2,547,918 |
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T. Rowe Price |
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T. Rowe Price Retirement 2055 Fund, 89,046 shares |
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746,208 |
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T. Rowe Price |
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T. Rowe Price Retirement Income Fund, 61,806 shares |
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754,646 |
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T. Rowe Price |
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T. Rowe Price Small Cap Value Fund, 546,409 shares |
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16,108,123 |
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The Vanguard Group, Inc. |
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Vanguard Institutional Index Fund, 143,979 shares |
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14,683,022 |
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The Vanguard Group, Inc. |
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Vanguard Reserve Prime Money Market Institutional
Fund, 23,677,389 shares |
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23,677,389 |
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The Vanguard Group, Inc. |
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Vanguard Total Bond Market Index Signal Fund,
207,997 shares |
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2,152,768 |
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The Vanguard Group, Inc. |
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Vanguard Total International Stock Index Fund,
834,157 shares |
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12,020,203 |
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The Vanguard Group, Inc. |
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Vanguard Total Stock Market Index Signal Fund,
93,966 shares |
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2,490,091 |
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Loans to Participants* |
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Maturing from January 2010 to December 2024,
interest range: 4.25% to 10.5% |
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6,780,124 |
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$ |
303,036,382 |
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* |
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Represents a party-in-interest. |
16
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the members of the TD
AMERITRADE Holding Corporation Associates 401(k) Profit Sharing Plan and Trust Committee have duly
caused this annual report to be signed on its behalf by the undersigned hereunto duly authorized.
TD AMERITRADE HOLDING CORPORATION
ASSOCIATES 401(k) PROFIT SHARING PLAN AND TRUST
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Date: June 24, 2010 |
By: |
/s/ WILLIAM J. GERBER
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William J. Gerber |
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TD AMERITRADE Holding Corporation
Executive Vice President, Chief Financial Officer |
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EXHIBIT INDEX
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Exhibit Number |
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Description |
23.1
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Consent of Ernst & Young LLP |