0001140361-12-016001.txt : 20120315 0001140361-12-016001.hdr.sgml : 20120315 20120315171822 ACCESSION NUMBER: 0001140361-12-016001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120313 FILED AS OF DATE: 20120315 DATE AS OF CHANGE: 20120315 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Duffy John G CENTRAL INDEX KEY: 0001380488 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33138 FILM NUMBER: 12694974 MAIL ADDRESS: STREET 1: C/O KBW, INC., 787 SEVENTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: KBW, INC. CENTRAL INDEX KEY: 0001063494 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 134055775 FISCAL YEAR END: 1017 BUSINESS ADDRESS: STREET 1: 787 SEVENTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212887-7777 MAIL ADDRESS: STREET 1: 787 SEVENTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: KBW INC DATE OF NAME CHANGE: 19980605 4 1 doc1.xml FORM 4 X0304 4 2012-03-13 0 0001063494 KBW, INC. KBW 0001380488 Duffy John G C/O KBW INC. 787 SEVENTH AVE. NEW YORK NY 10019 1 1 0 0 Director, Vice Chairman Common Stock, par value $0.01 per share 2012-03-13 4 S 0 10000 16.83 D 635136 D Common Stock, par value $0.01 per share 2012-03-15 4 S 0 10000 17.87 D 625136 D By: /s/ Mitchell B. Kleinman, Attorney-in-Fact 2012-03-15