Filing Details
- Accession Number:
- 0001140361-10-018614
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-05-03 13:00:00
- Reporting Period:
- 2010-04-29
- Filing Date:
- 2010-05-03
- Accepted Time:
- 2010-05-03 18:34:26
- 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 | 2010-04-29 | 5,915 | $29.04 | 651,437 | No | 4 | S | Direct | |
Common Stock, Par Value $0.01 Per Share | Disposition | 2010-04-30 | 38,161 | $29.61 | 613,276 | No | 4 | S | Direct | |
Common Stock, Par Value $0.01 Per Share | Disposition | 2010-05-03 | 900 | $30.02 | 612,376 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Direct | |
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 29, 2010 were sold at varying prices in the range of $29.00 - $29.48. The shares sold on April 30, 2010 were sold at varying prices in the range of $29.00 - $30.10. The shares sold on May 3, 2010 were sold at varying prices in the range of $30.00 - $30.08. 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.