0001140361-12-049704.txt : 20121204
0001140361-12-049704.hdr.sgml : 20121204
20121204172602
ACCESSION NUMBER: 0001140361-12-049704
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121130
FILED AS OF DATE: 20121204
DATE AS OF CHANGE: 20121204
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: 121241568
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
X0306
4
2012-11-30
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
2012-11-30
4
S
0
75000
17.23
D
442898
D
By: /s/ Mitchell B. Kleinman, Attorney-in-Fact
2012-12-04