Filing Details
- Accession Number:
- 0001140361-12-051961
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-12-19 17:20:47
- Reporting Period:
- 2012-12-18
- Filing Date:
- 2012-12-19
- Accepted Time:
- 2012-12-19 17:20:47
- 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 |
|---|---|---|---|---|---|---|---|
| 1380491 | B Mitchell Kleinman | C/O Kbw, Inc. 787 Seventh Avenue New York NY 10019 | General Counsel | No | 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 | 2012-12-18 | 38,332 | $15.18 | 243,526 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2012-12-18 | 57,509 | $15.07 | 186,017 | No | 4 | D | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | D | Direct |
Footnotes
- Sale was effected pursuant to a Rule 10b5-1 plan entered into on November 30, 2012.
- Constitutes portion of shares acquired due to acceleration and conversion of vested restricted stock units that were withheld from reporting person in order to comply with applicable tax regulations. Total value of shares withheld equals estimated taxes due as a result of all conversion events.
Billionaire Hedge Funds
