Home > Insider Trading > Filing (0001209191-11-028345)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1123541	Penson Worldwide Inc	PNSN	Security Brokers, Dealers & Flotation Companies (6211)	752896356

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1466451	William Charles Yancey	C/O Penson Worldwide, Inc. 1700 Pacific Avenue, Suite 1400 Dallas TX 75201	Ceo Of Registrant Subsidiary	No	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	Acquisiton	2011-05-13	10,000	$3.39	152,817	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	4,500	Indirect	By Charles Schwab FBO Charles William Yancey PCRA

Footnotes

Includes 13,590 Restricted Stock Units, the unvested portion of which vests in quarterly installments as follows: 1942 shares on July 1, 2011; 1941 shares on October 1, 2011; 1941 shares on December 31, 2011; 1941 shares on March 31, 2012; 1942 shares on July 1, 2012; 1941 shares on October 1, 2012; and 1942 shares on December 31, 2012.
Includes 903 Restricted Stock Units that vest evenly over five quarterly installments from 7/31/2011.
Includes 9,685 Restricted Stock Units that vest evenly over nine quarterly installments from 8/1/2011.
Includes 70,347 Restricted Stock Units, the unvested portion of which vests in annual installments as follows: 23,449 shares on January 1, 2012, 23,449 shares on January 1, 2013 and 23,449 shares on January 1, 2014.