4//SEC Filing
PENSON WORLDWIDE INC 4
Accession 0001209191-11-020706
CIK 0001123541operating
Filed
Mar 31, 8:00 PM ET
Accepted
Apr 1, 5:36 PM ET
Size
8.3 KB
Accession
0001209191-11-020706
Insider Transaction Report
Form 4
JOHNSON THOMAS RICHARD
Director
Transactions
- Exercise/Conversion
Restricted Stock Unit
2011-03-31−771→ 0 total→ Common Stock (0 underlying) - Exercise/Conversion
Common Stock
2011-03-31+771→ 32,841 total
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 March 31, 2011, 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 5,095 Restricted Stock Units that vest evenly over 4 quarters from June 30, 2011.
- [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 vested 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
- Mar 31, 8:00 PM ET
- Accepted
- Apr 1, 5:36 PM ET
- Size
- 8.3 KB