Insider · CIK 0001286502

JOHNSON THOMAS RICHARD

Reports to the SEC for 2 companies · DALLAS, TX

sec.gov

Transactions

Companies

Filings

CIK

0001286502

Forms 4 and 5

Insider transactions

45 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2011-04-28	PENSON WORLDWIDE INCA Award	Director	AAward	+11.3K sh	—	—	44,132
2011-03-31	PENSON WORLDWIDE INCRestricted Stock UnitM Exercise/Conversion	Director	MExercise/Conversion	−771 sh	—	—	0
2011-03-31	PENSON WORLDWIDE INCM Exercise/Conversion	Director	MExercise/Conversion	+771 sh	—	—	32,841
2010-12-31	PENSON WORLDWIDE INCM Exercise/Conversion	Director	MExercise/Conversion	+772 sh	—	—	32,070
2010-12-31	PENSON WORLDWIDE INCRestricted Stock UnitM Exercise/Conversion	Director	MExercise/Conversion	−772 sh	—	—	771
2010-09-30	PENSON WORLDWIDE INCM Exercise/Conversion	Director	MExercise/Conversion	+771 sh	—	—	31,298
2010-09-30	PENSON WORLDWIDE INCRestricted Stock UnitM Exercise/Conversion	Director	MExercise/Conversion	−771 sh	—	—	1,543
2010-06-30	PENSON WORLDWIDE INCRestricted Stock UnitM Exercise/Conversion	Director	MExercise/Conversion	−772 sh	—	—	2,314
2010-06-30	PENSON WORLDWIDE INCRestricted Stock UnitsM Exercise/Conversion	Director	MExercise/Conversion	−772 sh	—	—	2,314
2010-06-30	PENSON WORLDWIDE INCM Exercise/Conversion	Director	MExercise/Conversion	+772 sh	—	—	30,527
2010-06-30	PENSON WORLDWIDE INCM Exercise/Conversion	Director	MExercise/Conversion	+772 sh	—	—	30,527
2010-05-27	PENSON WORLDWIDE INCA Award	Director	AAward	+10.2K sh	—	—	29,755
2010-04-29	PENSON WORLDWIDE INCRestricted Stock UnitM Exercise/Conversion	Director	MExercise/Conversion	−840 sh	—	—	0
2010-04-29	PENSON WORLDWIDE INCM Exercise/Conversion	Director	MExercise/Conversion	+840 sh	—	—	19,565
2010-03-31	PENSON WORLDWIDE INCRestricted Stock UnitM Exercise/Conversion	Director	MExercise/Conversion	−772 sh	—	—	3,086
2010-03-31	PENSON WORLDWIDE INCM Exercise/Conversion	Director	MExercise/Conversion	+772 sh	—	—	18,725
2010-03-31	PENSON WORLDWIDE INCS Sale	Director	SSale	−407K sh	—	—	500,922
2010-03-02	PENSON WORLDWIDE INCS Sale	Director	SSale	−93.2K sh	—	—	907,719
2010-01-29	PENSON WORLDWIDE INCM Exercise/Conversion	Director	MExercise/Conversion	+840 sh	—	—	17,953
2010-01-29	PENSON WORLDWIDE INCRestricted Stock UnitM Exercise/Conversion	Director	MExercise/Conversion	−840 sh	—	—	839
2009-12-31	PENSON WORLDWIDE INCM Exercise/Conversion	Director	MExercise/Conversion	+771 sh	—	—	17,113
2009-12-31	PENSON WORLDWIDE INCRestricted Stock UnitM Exercise/Conversion	Director	MExercise/Conversion	−771 sh	—	—	3,858
2009-10-29	PENSON WORLDWIDE INCM Exercise/Conversion	Director	MExercise/Conversion	+840 sh	—	—	16,342
2009-10-29	PENSON WORLDWIDE INCRestricted Stock UnitM Exercise/Conversion	Director	MExercise/Conversion	−840 sh	—	—	1,679
2009-09-30	PENSON WORLDWIDE INCRestricted Stock UnitM Exercise/Conversion	Director	MExercise/Conversion	−772 sh	—	—	4,629
2009-09-30	PENSON WORLDWIDE INCM Exercise/Conversion	Director	MExercise/Conversion	+772 sh	—	—	15,502
2009-08-04	PENSON WORLDWIDE INCS Sale	Director	SSale	−12.6K sh	$11.52	−$145K	1,000,922
2009-08-03	PENSON WORLDWIDE INCS Sale	Director	SSale	−27K sh	$11.70	−$316K	1,013,522
2009-07-31	PENSON WORLDWIDE INCS Sale	Director	SSale	−45.9K sh	$11.75	−$539K	1,040,522
2009-07-30	PENSON WORLDWIDE INCS Sale	Director	SSale	−14.5K sh	$11.75	−$170K	1,086,422
2009-07-29	PENSON WORLDWIDE INCM Exercise/Conversion	Director	MExercise/Conversion	+839 sh	—	—	14,730
2009-07-29	PENSON WORLDWIDE INCRestricted Stock UnitM Exercise/Conversion	Director	MExercise/Conversion	−839 sh	—	—	2,519
2009-06-30	PENSON WORLDWIDE INCM Exercise/Conversion	Director	MExercise/Conversion	+772 sh	—	—	13,891
2009-06-30	PENSON WORLDWIDE INCRestricted Stock UnitM Exercise/Conversion	Director	MExercise/Conversion	−772 sh	—	—	5,401
2009-05-21	PENSON WORLDWIDE INCRestricted Stock UnitA Award	Director	AAward	+6,173 sh	—	—	6,173
2009-04-29	PENSON WORLDWIDE INCRestricted Stock UnitM Exercise/Conversion	Director	MExercise/Conversion	−840 sh	—	—	3,358
2009-04-29	PENSON WORLDWIDE INCM Exercise/Conversion	Director	MExercise/Conversion	+840 sh	—	—	13,119
2009-01-29	PENSON WORLDWIDE INCRestricted Stock UnitM Exercise/Conversion	Director	MExercise/Conversion	−840 sh	—	—	4,198
2009-01-29	PENSON WORLDWIDE INCM Exercise/Conversion	Director	MExercise/Conversion	+840 sh	—	—	12,279
2008-04-29	PENSON WORLDWIDE INCRestricted Stock UnitA Award	Director	AAward	+6,718 sh	—	—	6,718
2007-05-08	PENSON WORLDWIDE INCStock Option (right to buy)A Award	Director	AAward	+5,000 sh	—	—	5,000
2005-05-24	CALL NOW INCP Purchase	Director, President & CEO	PPurchase	+3,500 sh	$7.25	+$25.4K	27,307
2005-01-14	CALL NOW INCP Purchase	Director, President & CEO	PPurchase	+1,800 sh	$7.00	+$12.6K	23,807
2004-09-22	CALL NOW INCP Purchase	Director, President & CEO	PPurchase	+3,200 sh	$8.00	+$25.6K	20,007
2004-03-30	CALL NOW INCX Exercise of In-Money	Director, President & CEO	XExercise of In-Money	+10K sh	$3.88	+$38.9K	16,807

Recent filings

Accepted (ET)
Apr 294
PENSON WORLDWIDE INC0001209191-11-025048
SEC(opens sec.gov)
Apr 14
PENSON WORLDWIDE INC0001209191-11-020706
SEC(opens sec.gov)
Jan 34
PENSON WORLDWIDE INC0001209191-11-000271
SEC(opens sec.gov)
Oct 44
PENSON WORLDWIDE INC0001209191-10-048856
SEC(opens sec.gov)
Jul 74/A
PENSON WORLDWIDE INC0001209191-10-037676
SEC(opens sec.gov)
Jul 24
PENSON WORLDWIDE INC0001209191-10-037124
SEC(opens sec.gov)
Jun 44
PENSON WORLDWIDE INC0001209191-10-032429
SEC(opens sec.gov)
May 34
PENSON WORLDWIDE INC0001209191-10-024877
SEC(opens sec.gov)
Apr 14
PENSON WORLDWIDE INC0001209191-10-019870
SEC(opens sec.gov)
Mar 24
PENSON WORLDWIDE INC0001209191-10-013547
SEC(opens sec.gov)
Feb 24
PENSON WORLDWIDE INC0001209191-10-006230
SEC(opens sec.gov)

Companies

Address

C/O PENSON WORLDWIDE, INC. 1700 PACIFIC AVENUE, SUITE 1400

DALLAS, TX, 75201