-----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, RiqTEC2dGngimRnVoG0HCEVSrzdlRaBCS2gPz88VzJi6LGakFsCtdks+CxxuS9R9 UVVaVoSs0esHwxKZh06lmQ== 0001140361-10-018619.txt : 20100503 0001140361-10-018619.hdr.sgml : 20100503 20100503184557 ACCESSION NUMBER: 0001140361-10-018619 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100429 FILED AS OF DATE: 20100503 DATE AS OF CHANGE: 20100503 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: 10794488 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 2010-04-29 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 2010-04-29 4 S 0 680 29.02 D 262942 D Common Stock, par value $0.01 per share 2010-04-29 4 S 0 2346 29.02 D 44023 I Shares held by the Andrew M. Senchak 2007 GRAT Common Stock, par value $0.01 per share 2010-04-29 4 S 0 2345 29.02 D 216311 I Shares held by the Andrew M. Senchak 2009 GRAT Common Stock, par value $0.01 per share 2010-04-30 4 S 0 880 30.03 D 262062 D Common Stock, par value $0.01 per share 2010-04-30 4 S 0 9089 29.67 D 34934 I Shares held by the Andrew M. Senchak 2007 GRAT Common Stock, par value $0.01 per share 2010-04-30 4 S 0 39208 29.59 D 177103 I Shares held by the Andrew M. Senchak 2009 GRAT Common Stock, par value $0.01 per share 2010-05-03 4 S 0 401 30.04 D 34533 I Shares held by the Andrew M. Senchak 2007 GRAT Common Stock, par value $0.01 per share 2010-05-03 4 A 0 0 0 A 462498 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 29, 2010 by each of (i) Andrew M. Senchak, (ii) the Andrew M. Senchak 2007 Grantor Retained Annuity Trust ("GRAT") and (iii) the Andrew M. Senchak 2009 GRAT were sold at varying prices in the range of $29.00 - $29.35. The shares sold on April 30, 2010 by Andrew M. Senchak were sold at varying prices in the range of $30.00 - $30.10. The shares sold on April 30, 2010 by each of the Andrew M. Senchak 2007 GRAT and the Andrew M. Senchak 2009 GRAT were sold at varying prices in the range of $29.00 - $30.10. The shares sold on May 3, 2010 by the Andrew M. Senchak 2007 GRAT were sold at varying prices in the range of $30.00 - $30.14. 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. 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. With regard to the 462,498 shares that are indirectly beneficially owned, 177,103 shares are held by the Andrew M. Senchak 2009 GRAT, 34,533 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 2010-05-03 -----END PRIVACY-ENHANCED MESSAGE-----