Filing Details
- Accession Number:
- 0001140361-12-050027
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-12-06 17:20:33
- Reporting Period:
- 2012-12-05
- Filing Date:
- 2012-12-06
- Accepted Time:
- 2012-12-06 17:20:33
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1063494 | Kbw Inc. | KBW | Security Brokers, Dealers & Flotation Companies (6211) | 134055775 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1380488 | G John Duffy | C/O Kbw Inc. 787 Seventh Ave. New York NY 10019 | Director, Vice Chairman | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $0.01 Per Share | Disposition | 2012-12-05 | 100,000 | $17.20 | 125,294 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2012-12-05 | 5,700 | $0.00 | 119,594 | No | 4 | G | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | G | Direct |
Footnotes
- A Form 4 filed on December 4, 2012 contained an administrative error that over-reported the shares directly beneficially owned by the reporting person by 217,604 shares. Therefore, the amount reported on this Form 4 has been corrected to accurately reflect the correct amount of shares directly beneficially owned by the reporting person.
- The transactions involved a gift of securities to one or more charitable or educational institutions.
Billionaire Hedge Funds
