Filing Details

Accession Number:
0001209191-12-033712
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-06-13 17:28:34
Reporting Period:
2012-06-12
Filing Date:
2012-06-13
Accepted Time:
2012-06-13 17:28:34
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
1320998 Bryce Engel C/O Penson Worldwide, Inc.
1700 Pacific Avenue, Suite 1400
Dallas TX 75201
President 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 Disposition 2012-06-12 11,913 $0.22 188,396 No 4 S Direct
Common Stock Disposition 2012-06-13 5,751 $0.19 182,645 No 4 S Direct
Common Stock Disposition 2012-06-13 66,840 $0.18 115,805 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Direct
No 4 S Direct
Footnotes
  1. Includes 11,250 Restricted Stock Units that vest evenly over 3 quarters from September 1, 2012.
  2. Includes 6,149 Restricted Stock Units that vest evenly over 5 quarters from August 1, 2012.
  3. Includes 43,558 Restricted Stock Units, the unvested portion of which vests in annual installments as follows: 21,779 shares on January 1, 2013 and 21,779 shares on January 1, 2014.
  4. Includes 54,848 Restricted Stock Units, the unvested portion of which vests in annual installments as follows: 18,283 shares on March 1, 2013, 18,283 shares on March 1, 2014 and 18,282 shares on March 1, 2015.