4//SEC Filing
PENSON WORLDWIDE INC 4
Accession 0001209191-10-048856
CIK 0001123541operating
Filed
Oct 3, 8:00 PM ET
Accepted
Oct 4, 7:07 PM ET
Size
8.9 KB
Accession
0001209191-10-048856
Insider Transaction Report
Form 4
JOHNSON THOMAS RICHARD
Director
Transactions
- Exercise/Conversion
Common Stock
2010-09-30+771→ 31,298 total - Exercise/Conversion
Restricted Stock Unit
2010-09-30−771→ 1,543 total→ Common Stock (1,543 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 September 30, 2010, 771 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 7,642 Restricted Stock Units that vest evenly over 6 quarters from December 31, 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 two quarterly installments as follows: 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
- Filed
- Oct 3, 8:00 PM ET
- Accepted
- Oct 4, 7:07 PM ET
- Size
- 8.9 KB