X0304 4/A 2012-01-01 2012-01-03 0 0001123541 PENSON WORLDWIDE INC PNSN 0001356300 Engemoen Roger J JR C/O PENSON WORLDWIDE, INC. 1700 PACIFIC AVE, SUITE 1400 DALLAS TX 75201 1 1 0 0 Chairman Common Stock 2011-12-14 4 G 0 40000 0.00 D 2377855 I By Engemoen Family Partnership Ltd. Common Stock 2012-01-01 4 F 0 5537 1.16 D 57522 D These shares are held directly by the Engemoen Family Partnership, Ltd. Roger J. Engemoen, Jr. is the President of Engemoen Investments LLC, the general partner of Engemoen Family Partnership, Ltd. Mr. Engemoen has sole voting power and sole dispositive power over the shares of common stock held by Engemoen Family Partnership, Ltd. Includes 36,128 Restricted Stock Units, the unvested portion of which vests in annual installments as follows: 18,064 shares on January 1, 2013 and 18,064 shares on January 1, 2014. This Amendment reflects the 40,000 share gift the Reporting Person made in December 2011. /s/ Jonathan N. Gilliland, by power of attorney for Roger J. Engemoen, Jr. /s/ Jonathan N. Gilliland, by power of attorney for Engemoen Investments LLC /s/ Jonathan N. Gilliland, by power of attorney for Engemoen Family Partnership Ltd 2012-02-13