-----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, LFVDC7ITKzZcKTar4r9uTUWvJzI2q+ZzOv8VdXVpnCcyGthUFygi5O/S8wQpJ718 AKS7NOHByjCDwFn3YGV5zQ== 0001140361-11-010540.txt : 20110217 0001140361-11-010540.hdr.sgml : 20110217 20110217172410 ACCESSION NUMBER: 0001140361-11-010540 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110215 FILED AS OF DATE: 20110217 DATE AS OF CHANGE: 20110217 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: 11621784 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 2011-02-15 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 2011-02-15 4 S 0 6576 28.25 D 375705 D Common Stock, par value $0.01 per share 2011-02-15 4 A 0 0 0 A 364363 I Shares held by a family trust Sale was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on November 9, 2010. The price reported represents the weighted average price of shares sold. The shares were sold at varying prices in the range of $27.91 - $28.43. 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. Represents shares directly beneficially owned by the reporting person as a result of the transactions reported herein, as well as certain transfers to the reporting person of shares that had previously been indirectly beneficially owned. This line does not reflect a separate transaction requiring reporting. It reflects shares indirectly beneficially owned by the reporting person after the transactions reported herein, as well as certain transfers of shares that had previously been indirectly beneficially owned. Such transfers did not affect the reporting person's total beneficial ownership. All 364,363 shares that are indirectly beneficially owned are held by the Andrew Senchak Family Trust. By: /s/ Mitchell B. Kleinman, Attorney-in-Fact 2011-02-17 -----END PRIVACY-ENHANCED MESSAGE-----