Filing Details
- Accession Number:
- 0001140361-11-013945
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-03-03 17:17:20
- Reporting Period:
- 2011-03-01
- Filing Date:
- 2011-03-03
- Accepted Time:
- 2011-03-03 17:17:20
- 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 | 2011-03-01 | 17,700 | $26.01 | 567,111 | No | 4 | S | Direct | |
Common Stock, Par Value $0.01 Per Share | Disposition | 2011-03-02 | 7,300 | $26.04 | 559,811 | No | 4 | S | Direct | |
Common Stock, Par Value $0.01 Per Share | Disposition | 2011-03-03 | 3,300 | $27.02 | 556,511 | 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 plan entered into by the reporting person on February 28, 2011.
- The price reported represents the weighted average price of shares sold. The shares sold on March 1, 2011 were sold at varying prices in the range of $26.00 - $26.17. The shares sold on March 2, 2011 were sold at varying prices in the range of $26.00 - $26.09. The shares sold on March 3, 2011 were sold at varying prices in the range of $27.00 - $27.06. 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.