Filing Details
- Accession Number:
- 0001140361-11-010540
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-02-17 17:24:10
- Reporting Period:
- 2011-02-15
- Filing Date:
- 2011-02-17
- Accepted Time:
- 2011-02-17 17:24:10
- 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 | Disposition | 2011-02-15 | 6,576 | $28.25 | 375,705 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Acquisiton | 2011-02-15 | 0 | $0.00 | 364,363 | No | 4 | A | Indirect | Shares held by a family trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | A | Indirect | Shares held by a family trust |
Footnotes
- Sale was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on November 9, 2010.
- The price reported represents the weighted average price of shares sold. The shares were sold at varying prices in the range of $27.91 - $28.43. 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.
- Represents shares directly beneficially owned by the reporting person as a result of the transactions reported herein, as well as certain transfers to the reporting person of shares that had previously been indirectly beneficially owned.
- This line does not reflect a separate transaction requiring reporting. It reflects shares indirectly beneficially owned by the reporting person after the transactions reported herein, as well as certain transfers of shares that had previously been indirectly beneficially owned. Such transfers did not affect the reporting person's total beneficial ownership. All 364,363 shares that are indirectly beneficially owned are held by the Andrew Senchak Family Trust.
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