144

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 144

 

NOTICE OF PROPOSED SALE OF SECURITIES

PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933

 

    SEC USE ONLY
  

DOCUMENT SEQUENCE NO.

 

  

CUSIP NUMBER

 

   WORK LOCATION
    
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)

TD Ameritrade Holding Corporation

  

(b) IRS IDENT. NO.

        82-0543156

  

(c) S.E.C. FILE NO.

        001-35509

    
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

INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.

 

3(a)                

    (b)         SEC USE ONLY    (c)    (d)   (e)                                 (f)                               (g)

Title of the

Class of

Securities

To Be Sold

   

Name and Address of Each Broker Through Whom the

Securities are to be Offered or Each Market

Maker who is Acquiring the Securities

   

Broker-Dealer

File Number

   

Number of Shares

or Other Units

To Be Sold

(See Instr. 3(c))

   

Aggregate

Market
Value

(See Instr. 3(d))

  

Number of Shares

or Other Units

Outstanding

(See Instr. 3(e))

   

Approximate

Date of Sale

(See Instr. 3(f))

(MO. DAY YR.)

   

Name of Each

Securities

Exchange

(See Instr. 3(g))

Common  

Stock

   

TD Ameritrade, Inc.

1005 North Ameritrade Place

Bellevue, NE 68005

         4,255,000 (1)    $64,931,300   546,503,934   

Nov. 16,

2012

    NYSE, NSX, ARCA

 

INSTRUCTIONS:

1.

   (a)   Name of issuer
  (b)   Issuer’s I.R.S. Identification Number
  (c)   Issuer’s S.E.C. file number, if any
 

(d)

(e)

  

Issuer’s address, including zip code

Issuer’s telephone number, including area code

2.

   (a)   Name of person for whose account the securities are to be sold
  (b)   Such person’s relationship to the Issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)
  (c)   Such person’s address, including zip code
3.   (a)   Title of the class of securities to be sold
  (b)   Name and address of each broker through whom the securities are intended to be sold
  (c)   Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
  (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)  

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

Approximate date on which the securities are to be sold

  (f)  
  (g)   Name of each securities exchange, if any, on which the securities are intended to be sold
 

TABLE I—SECURITIES TO BE SOLD

Furnish the following information with respect to the acquisition of the securities to be sold

and with respect to the payment of all or any part of the purchase price or other consideration therefor:

 

Title of

the Class

   

Date you  

Acquired  

    Name of Acquisition Transaction   

Name of Person from Whom Acquired

(If gift, also give date donor acquired)

    Amount of
Securities Acquired  		   

Date of  

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         4,255,000    (2)    (2)
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.

 

 

TABLE II—SECURITIES SOLD DURING THE PAST 3 MONTHS

 

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

 

Name and Address of Seller   Title of Securities Sold   Date of Sale       Amount of    
Securities Sold     		   Gross Proceeds    
         
                 

REMARKS:

 

(1) Sales to be effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 15, 2012. As indicated below, the representation below regarding the seller’s knowledge of material information speaks as of the date of the adoption of the trading plan.

 

(2) Cashless exercise, with aggregate exercise price of the options netted from the proceeds received from the sale of the common stock at the time of the sale.

INSTRUCTIONS:

See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

  

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing this form and indicating the date that the plan was adopted or the instructions given, that person makes such representation as of the plan adoption or instruction date.

November 16, 2012

DATE OF NOTICE

  

/s/ Joseph H. Moglia

(SIGNATURE)

March 15, 2012

DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION,

IF RELYING ON RULE 10B5-1

   The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures.

 

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)