UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 |
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SEC USE ONLY | ||||||||||||||||||
FORM 144 |
DOCUMENT SEQUENCE NO. | |||||||||||||||||
NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 |
CUSIP NUMBER | |||||||||||||||||
ATTENTION: 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. | ||||||||||||||||||
1(a) NAME OF ISSUER (Please type or print) | (b) IRS IDENT. NO. | (c) S.E.C. FILE NO. | WORK LOCATION | |||||||||||||||
TD AMERITRADE Holding Corporation | 82-0543156 | 0-49992 | ||||||||||||||||
1(d) ADDRESS OF ISSUER |
STREET | CITY | STATE | ZIP CODE | (e) TELEPHONE NO. | |||||||||||||
AREA CODE | NUMBER | |||||||||||||||||
4211 South 102nd Street | Omaha | NE | 68127 | 402 | 331-7856 | |||||||||||||
2(a)NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD | (b)RELATIONSHIP TO ISSUER | (c)ADDRESS | STREET | CITY | STATE | ZIP CODE | ||||||
Joseph H. Moglia | Director | 4211 South 102nd Street Omaha, NE 68127 | ||||||||||
3(a) | (b) | SEC USE ONLY | (c) | (d) | (e) | (f) | (g) | ||||||||||||||||||||
Title of the | Number of Shares | Aggregate | Approximate | Name of Each | |||||||||||||||||||||||
Class of | Name and Address of Each Broker Through Whom the | or Other Units | Market | Number of Shares | Date of Sale | Securities | |||||||||||||||||||||
Securities | Securities are to be Offered or Each Market Maker | Broker-Dealer | To Be Sold | Value | or Other Units Outstanding | (See Instr. 3(f)) | Exchange | ||||||||||||||||||||
To Be Sold | 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
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Merrill Lynch, Pierce, Fenner & Smith Incorporated 250 Vesey Street, 6th Floor New York, NY 10080 |
1,527,000 (1) | $ | 21,515,430 | 589,318,526 | March 27, 2009 | Nasdaq, NSX, ARCA | ||||||||||||||||||||
1.
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(a) | Name of issuer | 3. | (a) | Title of the class of securities to be sold | |||||||
(b) | Issuers I.R.S. Identification Number | (b) | Name and address of each broker through whom the securities are intended to be sold | |||||||||
(c) | Issuers S.E.C. file number, if any | (c) | Number of shares or other units to be sold (if debt securities, give the aggregate face amount) | |||||||||
(d) | Issuers address, including zip code | (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) | Issuers telephone number, including area code | (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 |
2.
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(a) | Name of person for whose account the securities are to be sold | (f) | Approximate date on which the securities are to be sold | ||||||
(b) | Such persons relationship to the Issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing) | (g) | Name of each securities exchange, if any, on which the securities are intended to be sold | |||||||
(c) | Such persons address, including zip code |
Title of | Date you | Name of Person from Whom Acquired | Amount of | Date of | ||||||||||||||||||||||||||||||
the Class | Acquired | Name of Acquisition Transaction | (If gift, also give date donor acquired) | Securities Acquired | Payment | Nature of Payment | ||||||||||||||||||||||||||||
Common Stock |
(2) |
Exercise of stock options pursuant to Datek Online Holdings Corp. 2001 Stock Incentive Plan |
TD AMERITRADE Holding Corporation |
1,527,000 |
(2) |
(2) |
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INSTRUCTIONS: | 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. |
Name and Address of Seller | Title of Securities Sold | Date of Sale | Amount of Securities Sold |
Gross Proceeds | ||||||||||||||||||
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