UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 8-K
Current Report
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): May 29, 2007
TD AMERITRADE Holding Corporation
(Exact name of registrant as specified in its charter)
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Delaware
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0-49992
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82-0543156 |
(State or other
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(Commission File
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(I.R.S. Employer |
jurisdiction of
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Number)
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Identification Number) |
incorporation) |
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4211 South 102nd Street
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68127 |
Omaha, Nebraska
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(Zip Code) |
(Address of principal executive offices) |
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Registrants telephone number, including area code: (402) 331-7856
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the
filing obligation of the registrant under any of the following provisions:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR
240.14d-2(b)) |
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR
240.13e-(c)) |
Item 5.04 Temporary Suspension of Trading Under Registrants Employee Benefit Plans
In a notice dated May 29, 2007, TD AMERITRADE Holding Corporation notified its directors and
executive officers that, in connection with the planned transition of service providers for the TD
AMERITRADE 401(k) Profit Sharing Plan (the Plan), a blackout period with respect to the Plan will
be in effect beginning July 9, 2007 and is expected to end on July 30, 2007. During the blackout
period, participants under the Plan will be unable to direct or diversify their investments in the
Plan, including accounts that hold TD AMERITRADE common stock, and will not be able to make a
contribution change, obtain or pay off a loan, make a withdrawal or receive a distribution.
During the blackout period, each director and executive officer is prohibited from, directly or
indirectly, purchasing, selling, acquiring or transferring any equity or derivative security
acquired in connection with service or employment as a director or employee of TD AMERITRADE.
Information regarding the blackout period may be obtained by contacting the General Counsel, Ellen
Koplow, 6940 Columbia Gateway Drive, Columbia, MD, 21046, at 800-258-0816.