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