Filing Details
- Accession Number:
- 0001140361-10-017410
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-04-23 13:00:00
- Reporting Period:
- 2010-04-21
- Filing Date:
- 2010-04-23
- Accepted Time:
- 2010-04-23 17:16:54
- 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 |
---|---|---|---|---|---|---|---|
1380496 | M Andrew Senchak | C/O Kbw, Inc. 787 Seventh Avenue 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 | Acquisiton | 2010-04-21 | 200 | $29.00 | 263,622 | No | 4 | S | Direct | |
Common Stock, Par Value $0.01 Per Share | Acquisiton | 2010-04-23 | 0 | $0.00 | 515,887 | No | 4 | A | Indirect | Shares held by certain Andrew M. Senchak GRATs and a family trust |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Direct | |
No | 4 | A | Indirect | Shares held by certain Andrew M. Senchak GRATs and a family trust |
Footnotes
- Sale was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on November 23, 2009.
- Reflects shares directly owned by Mr. Senchak following the sale of shares described in this line and following certain transfers of shares from the Andrew M. Senchak 2009 Grantor Retained Annuity Trust ("GRAT") to Mr. Senchak that were completed prior to such sale.
- This line does not reflect a separate transaction requiring reporting. It is a breakdown of shares indirectly beneficially owned by Mr. Senchak following the transfers described in footnote 2. With regard to the 515,887 shares that are indirectly beneficially owned, 218,656 shares are held by the Andrew M. Senchak 2009 GRAT, 46,369 shares are held by the Andrew M. Senchak 2007 GRAT and 250,862 shares are held by the Andrew Senchak Family Trust.