Filing Details

Accession Number:
0001140361-12-051961
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-12-19 17:20:47
Reporting Period:
2012-12-18
Filing Date:
2012-12-19
Accepted Time:
2012-12-19 17:20:47
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
1380491 B Mitchell Kleinman C/O Kbw, Inc.
787 Seventh Avenue
New York NY 10019
General Counsel 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, Par Value $0.01 Per Share Disposition 2012-12-18 38,332 $15.18 243,526 No 4 S Direct
Common Stock, Par Value $0.01 Per Share Disposition 2012-12-18 57,509 $15.07 186,017 No 4 D Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 D Direct
Footnotes
  1. Sale was effected pursuant to a Rule 10b5-1 plan entered into on November 30, 2012.
  2. Constitutes portion of shares acquired due to acceleration and conversion of vested restricted stock units that were withheld from reporting person in order to comply with applicable tax regulations. Total value of shares withheld equals estimated taxes due as a result of all conversion events.