4/A//SEC Filing
PENSON WORLDWIDE INC 4/A
Accession 0001209191-10-037676
CIK 0001123541operating
Filed
Jul 6, 8:00 PM ET
Accepted
Jul 7, 4:38 PM ET
Size
9.1 KB
Accession
0001209191-10-037676
Insider Transaction Report
Form 4/AAmended
JOHNSON THOMAS RICHARD
Director
Transactions
- Exercise/Conversion
Common Stock
2010-06-30+772→ 30,527 total - Exercise/Conversion
Restricted Stock Units
2010-06-30−772→ 2,314 total→ Common Stock (2,314 underlying)
Holdings
- 500,922(indirect: By Call Now, Inc.)
Common Stock
Footnotes (5)
- [F1]Each restricted stock unit represents a contingent right to receive one share of Penson Worldwide common stock. On June 30, 2010, 772 of the reporting person's restricted stock units vested. The reporting person is responsible for any tax liability associated with the vested shares.
- [F2]Includes 8,916 Restricted Stock Units that vest evenly over 7 quarters from September 30, 2010.
- [F3]Mr. Johnson disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Johnson is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- [F4]Each restricted stock unit represents a contingent right to receive one share of Penson Worldwide common stock.
- [F5]The restricted stock units vest in three quarterly installments as follows: 771 shares on September 30, 2010; 772 shares on December 31, 2010; and 771 shares on March 31, 2011.
Documents
Issuer
PENSON WORLDWIDE INC
CIK 0001123541
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001123541
Filing Metadata
- Form type
- 4/A
- Filed
- Jul 6, 8:00 PM ET
- Accepted
- Jul 7, 4:38 PM ET
- Size
- 9.1 KB