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Home > Insider Trading > Filing (0001209191-11-037948)

Filing Details

Accession Number:: 0001209191-11-037948
Form Type:: 4/A
Zero Holdings:: No
Publication Time:: 2011-07-05 19:24:06
Reporting Period:: 2011-05-13

Filing Date:: 2011-07-05
Accepted Time:: 2011-07-05 19:24:06
Original Submission Date:: 2011-05-13
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
1192096	A David Reed	C/O Penson Worldwide, Inc. 1700 Pacific Avenue, Suite 1400 Dallas TX 75201		Yes	No	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	400	$3.44	5,400	No	4	P	Indirect	By Causeway Capital Partners, LP
Common Stock	Acquisiton	2011-05-13	1,100	$3.45	6,500	No	4	P	Indirect	By Causeway Capital Partners, LP

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	By Causeway Capital Partners, LP
No	4	P	Indirect	By Causeway Capital Partners, LP

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	34,373	Direct

Footnotes

Includes 5,095 Restricted Stock Units that vest evenly over 4 quarters from June 30, 2011.
Includes 11,291 Restricted Stock Units that vest evenly over 8 quarters from June 30, 2011.
The purpose of this Amendment is to show that the referenced shares were purchased in open market transactions.