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