UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Marlene M. Ricketts 1994 Dynasty Trust C/O J. JOE RICKETTS, TD AMERITRADE 4211 S. 102ND ST. OMAHA, NE 68127 |
 |  X |  |  |
/s/ Laura M. Ricketts, trustee | 03/17/2006 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
 Remarks: The Dynasty Trust is a party to a stockholders agreement dated June 22, 2005 by and among the Dynasty Trust, J. Joe Ricketts, Marlene M. Ricketts, The Toronto-Dominion Bank and the other parties thereto (the "TD Stockholders Agreement").  Prior to the acquisition of TD Waterhouse Group, Inc. by the issuer in January 2006, the Dynasty Trust was a party to a separate stockholders agreement dated April 6, 2002 by and among the Dynasty Trust, J. Joe Ricketts, Marlene M. Ricketts and the other parties thereto (the "Datek Stockholders Agreement").  The Datek Stockholders Agreement became effective on September 9, 2002. All of the parties to the TD Stockholders Agreement are members of a Section 13(d) "group" (the "TD Group"), and all of the parties to the Datek Stockholders Agreement were members of a Section 13(d) "group" (the "Datek Group") prior to the acquisition of TD Waterhouse Group, Inc. by the issuer.  As such, the Dynasty Trust may be deemed to beneficially own the aggregate number of shares of the issuer's Common Stock held by the TD Group and, prior to the acquisition of TD Waterhouse Group, Inc. by the issuer, the Dynasty Trust may have been deemed to beneficially own the aggregate number of shares of the issuer's Common Stock held by the Datek Group.  The Dynasty Trust disclaims beneficial ownership of any shares of the issuer's Common Stock owned by the other members of either the TD Group or the Datek Group. |