0001209191-11-028345.txt : 20110513
0001209191-11-028345.hdr.sgml : 20110513
20110513155823
ACCESSION NUMBER: 0001209191-11-028345
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110513
FILED AS OF DATE: 20110513
DATE AS OF CHANGE: 20110513
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: PENSON WORLDWIDE INC
CENTRAL INDEX KEY: 0001123541
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
IRS NUMBER: 752896356
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1700 PACIFIC AVE
STREET 2: STE 1400
CITY: DALLAS
STATE: TX
ZIP: 75201
BUSINESS PHONE: 2147651100
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Yancey Charles William
CENTRAL INDEX KEY: 0001466451
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32878
FILM NUMBER: 11840967
MAIL ADDRESS:
STREET 1: C/O PENSON WORLDWIDE, INC.
STREET 2: 1700 PACIFIC AVENUE, SUITE 1400
CITY: DALLAS
STATE: TX
ZIP: 75201
4
1
doc4.xml
FORM 4 SUBMISSION
X0303
4
2011-05-13
0
0001123541
PENSON WORLDWIDE INC
PNSN
0001466451
Yancey Charles William
C/O PENSON WORLDWIDE, INC.
1700 PACIFIC AVENUE, SUITE 1400
DALLAS
TX
75201
0
1
0
0
CEO of Registrant Subsidiary
Common Stock
2011-05-13
4
P
0
10000
3.39
A
152817
D
Common Stock
4500
I
By Charles Schwab FBO Charles William Yancey PCRA
Includes 13,590 Restricted Stock Units, the unvested portion of which vests in quarterly installments as follows: 1942 shares on July 1, 2011; 1941 shares on October 1, 2011; 1941 shares on December 31, 2011; 1941 shares on March 31, 2012; 1942 shares on July 1, 2012; 1941 shares on October 1, 2012; and 1942 shares on December 31, 2012.
Includes 903 Restricted Stock Units that vest evenly over five quarterly installments from 7/31/2011.
Includes 9,685 Restricted Stock Units that vest evenly over nine quarterly installments from 8/1/2011.
Includes 70,347 Restricted Stock Units, the unvested portion of which vests in annual installments as follows: 23,449 shares on January 1, 2012, 23,449 shares on January 1, 2013 and 23,449 shares on January 1, 2014.
/s/ Owen M. Scheurich, by power of attorney
2011-05-13