0001140361-12-016323.txt : 20120316 0001140361-12-016323.hdr.sgml : 20120316 20120316171809 ACCESSION NUMBER: 0001140361-12-016323 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120314 FILED AS OF DATE: 20120316 DATE AS OF CHANGE: 20120316 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kleinman Mitchell B CENTRAL INDEX KEY: 0001380491 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33138 FILM NUMBER: 12698556 MAIL ADDRESS: STREET 1: C/O KBW, INC. STREET 2: 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 2012-03-14 0 0001063494 KBW, INC. KBW 0001380491 Kleinman Mitchell B C/O KBW, INC. 787 SEVENTH AVENUE NEW YORK NY 10019 0 1 0 0 General Counsel Common Stock, par value $0.01 per share 2012-03-14 4 S 0 10000 17.87 D 286858 D Common Stock, par value $0.01 per share 2012-03-15 4 S 0 5000 17.87 D 281858 D By: /s/ Mitchell B. Kleinman 2012-03-16