UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
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
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): March 23, 2010
TD AMERITRADE Holding Corporation
(Exact name of registrant as specified in its charter)
| Delaware (State or other jurisdiction of incorporation) |
0-49992 (Commission File Number) |
82-0543156 (I.R.S. Employer Identification Number) |
| 4211 South 102nd Street | ||
| Omaha, Nebraska | 68127 | |
| (Address of principal executive offices) | (Zip Code) |
Registrant’s 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:
| o | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| o | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| o | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| o | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
| Item 2.04 | Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement |
On July 20, 2009, TD AMERITRADE, Inc., a wholly owned indirect subsidiary of TD AMERITRADE
Holding Corporation, finalized settlements with each of the U.S. Securities and Exchange
Commission, the New York Attorney General’s Office and the Pennsylvania Securities Commission
acting on behalf of the North American Securities Administrators Association, concluding their
investigations into TD AMERITRADE, Inc.’s offer and sale of auction rate securities (“ARS”).
Pursuant to these settlements, TD AMERITRADE, Inc. commenced on August 10, 2009 an offer to
purchase, at par plus accrued but unpaid dividends and interest to the day of purchase, certain ARS
from certain of its customers. For those customers with assets at TD AMERITRADE, Inc. of $250,000
or less as of March 13, 2009, TD AMERITRADE, Inc.’s offer to purchase eligible ARS expired on
October 26, 2009. For those customers with assets at TD AMERITRADE, Inc. of more than $250,000 as
of March 13, 2009, TD AMERITRADE, Inc.’s offer to purchase eligible ARS expired on March 23, 2010.
As of the expiry of the offer on March 23, 2010, TD AMERITRADE, Inc. had received tenders of
eligible ARS of approximately $35 million. TD AMERITRADE, Inc. previously purchased approximately
$269 million of ARS. TD AMERITRADE, Inc. has accepted and will purchase tendered eligible ARS by
March 30, 2010.
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SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly
caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| TD AMERITRADE HOLDING CORPORATION |
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| Date: March 29, 2010 | By: | /s/ William J. Gerber | ||
| Name: | William J. Gerber | |||
| Title: | Chief Financial Officer | |||
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