Filing Details
- Accession Number:
- 0001140361-10-016796
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-04-16 13:00:00
- Reporting Period:
- 2010-04-14
- Filing Date:
- 2010-04-16
- Accepted Time:
- 2010-04-16 17:28:32
- 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 | 2010-04-14 | 19,230 | $28.16 | 667,822 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2010-04-15 | 10,270 | $28.45 | 657,552 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Footnotes
- 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. The shares sold on April 14, 2010 were sold at varying prices in the range of $28.00 - $28.37. The shares sold on April 15, 2010 were sold at varying prices in the range of $28.06 - $28.50. 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
