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Home > Insider Trading > Filing (0001209191-11-028347)

Filing Details

Accession Number:: 0001209191-11-028347
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2011-05-13 17:02:35
Reporting Period:: 2011-05-13

Filing Date:: 2011-05-13
Accepted Time:: 2011-05-13 16:02:35
SEC Url:: Form 4 Filing

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
1356311	A Philip Pendergraft	C/O Penson Worldwide, Inc. 1700 Pacific Avenue, Suite 1400 Dallas TX 75201	Chief Executive Officer	Yes	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

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	15,000	$3.33	143,590	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	739,185	Indirect	By PTP Partners, Ltd.
Common Stock	1,325	Indirect	By PFSI FBO Philip A. Pendergraft IRA
Common Stock	2,225	Indirect	By PFSI FBO Therese L. Pendergraft IRA

Footnotes

Includes 38,343 Restricted Stock Units, the unvested portion of which vests in annual installments as follows: 12,781 shares on January 1, 2012, 12,781 shares on January 1, 2013 and 12,781 shares on January 1, 2014.