-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Hr9gxjNVNw0gxN3cIP6lbE0XJ0xjDxnJdxtrgtIAhtDx977JHPgvxiSJovkQfQpR zqw21WY3Eu4Y7sJcygHojA== 0001140361-10-016792.txt : 20100416 0001140361-10-016792.hdr.sgml : 20100416 20100416172638 ACCESSION NUMBER: 0001140361-10-016792 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100414 FILED AS OF DATE: 20100416 DATE AS OF CHANGE: 20100416 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Senchak Andrew M CENTRAL INDEX KEY: 0001380496 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33138 FILM NUMBER: 10755588 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 X0303 4 2010-04-14 0 0001063494 KBW, INC. KBW 0001380496 Senchak Andrew M C/O KBW, INC. 787 SEVENTH AVENUE NEW YORK NY 10019 1 1 0 0 Director, Vice chairman Common Stock, par value $0.01 per share 2010-04-14 4 S 0 12616 28.16 D 254708 I Shares held by the Andrew M. Senchak 2009 GRAT Common Stock, par value $0.01 per share 2010-04-14 4 S 0 6618 28.16 D 46369 I Shares held by the Andrew M. Senchak 2007 GRAT Common Stock, par value $0.01 per share 2010-04-15 4 S 0 19820 28.42 D 234888 I Shares held by the Andrew M. Senchak 2009 GRAT Common Stock, par value $0.01 per share 2010-04-16 4 A 0 0 0 A 247590 D Common Stock, par value $0.01 per share 2010-04-16 4 A 0 0 0 A 532119 I Shares held by certain Andrew M. Senchak GRATs and a family trust Sale was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on November 23, 2009. The price reported represents the weighted average price of shares sold. The shares sold on April 14, 2010 by each of (i) the Andrew M. Senchak 2009 Grantor Retained Annuity Trust ("GRAT") and (ii) the Andrew M. Senchak 2007 GRAT were sold at varying prices in the range of $28.00 - $28.37. The shares sold on April 15, 2010 by the Andrew M. Senchak 2009 GRAT were sold at varying prices in the range of $28.05 - $28.52. Upon the request of the Commission staff, the issuer, or a security holder of the issuer, full information will be provided regarding the number of shares sold at each separate price. Reflects shares beneficially owned by the Andrew M. Senchak 2007 GRAT following the sale of shares described in this line and following certain transfers of shares from the Andrew M. Senchak 2007 GRAT to Mr. Senchak that were completed prior to such sale. This line does not reflect a separate transaction requiring reporting. It is a reflection of shares directly beneficially owned by Mr. Senchak following the transactions reflected in this report and the transfers described in footnote 3. This line does not reflect a separate transaction requiring reporting. It is a breakdown of shares indirectly beneficially owned by Mr. Senchak following the transactions reflected in this report and the transfers described in footnote 3. With regard to the 532,119 shares that are indirectly beneficially owned, 234,888 shares are held by the Andrew M. Senchak 2009 GRAT, 46,369 shares are held by the Andrew M. Senchak 2007 GRAT and 250,862 shares are held by the Andrew Senchak Family Trust. /s/ Mitchell B. Kleinman, Attorney-in-Fact 2010-04-16 -----END PRIVACY-ENHANCED MESSAGE-----