Filing Details
- Accession Number:
- 0001140361-10-004038
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-02-03 12:00:00
- Reporting Period:
- 2010-02-01
- Filing Date:
- 2010-02-03
- Accepted Time:
- 2010-02-03 17:30:28
- 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 |
|---|---|---|---|---|---|---|---|
| 1380492 | B. Thomas Michaud | C/O Kbw, Inc. 787 Seventh Ave. New York, NY 10019 | Director, Vice Chairman, Coo | 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 | 2010-02-01 | 11,032 | $26.70 | 678,533 | No | 4 | D | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2010-02-03 | 18,904 | $26.30 | 659,629 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | D | Direct | |
| No | 4 | S | Direct |
Footnotes
- Constitutes portion of shares which vested on February 1, 2010 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 vesting events.
- Sale was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on November 13, 2009.
- The price reported represents the weighted average price of shares sold. Shares were sold at varying prices in the range of $25.99-$26.91. Upon the request of the Commission staff, the issuer, or a security holder of the issuer, full information will be provided regarding the number of shares sold at each separate price.
Billionaire Hedge Funds
