0001209191-12-009222.txt : 20120210 0001209191-12-009222.hdr.sgml : 20120210 20120210180244 ACCESSION NUMBER: 0001209191-12-009222 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20120209 FILED AS OF DATE: 20120210 DATE AS OF CHANGE: 20120210 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: BASSO ROBERT S CENTRAL INDEX KEY: 0001197050 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32878 FILM NUMBER: 12594524 MAIL ADDRESS: STREET 1: P O BOX 1049 CITY: WOODLAND STATE: CA ZIP: 95776 4 1 doc4.xml FORM 4 SUBMISSION X0304 4 2012-02-09 0 0001123541 PENSON WORLDWIDE INC PNSN 0001197050 BASSO ROBERT S C/O PENSON WORLDWIDE INC. 1700 PACIFIC AVENUE, SUITE 1400 DALLAS TX 75201 1 0 0 0 Common Stock 2012-02-09 4 A 0 62500 0.00 A 63500 D Includes 62,500 Restricted Stock Units granted on 02/09/2012. These Restricted Stock Units vest in equal quarterly installments over three years, commencing with the quarter ending March 31, 2012. /s/Jonathan Gilliland by power of attorney 2012-02-10 EX-24.4_409058 2 poa.txt POA DOCUMENT POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of Andrew B. Koslow, Jonathan N. Gilliland and Nicole H. Williams or any of them signing singly, and with full power of substitution, the undersigned's true and lawful attorney in fact to: (1) prepare, execute in the undersigned's name and on the undersigned's behalf, and submit to the U.S. Securities and Exchange Commission (the "SEC") a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required by Section 16(a) of the Securities Exchange Act of 1934 or any rule or regulation of the SEC; (2) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of Penson Worldwide, Inc. (the "Company"), Forms 3, 4, and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder; (3) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4, or 5, complete and execute any amendment or amendments thereto, and timely file such form with the SEC and any stock exchange or similar authority; and (4) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney in fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney in fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney in fact may approve in such attorney in fact's discretion. The undersigned hereby grants to each such attorney in fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney in fact, or such attorney in fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys in fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys in fact. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 9th day of February, 2012. Signature /s/ Robert Basso Print Name Robert Basso