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
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
  1. 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.