X0205 3 2012-06-05 0 0001123541 PENSON WORLDWIDE INC PNSN 0001551524 McCain Richard Barto 1700 PACIFIC AVENUE SUITE 1400 DALLAS TX 75201 0 1 0 0 Chief Financial Officer Common Stock 59117 D Employee Stock Option (right to buy) 17.55 2016-08-03 Common Stock 8000 D Includes 45 Restricted Stock Units, the unvested portion of which will vest on July 31, 2012. Includes 3,528 Restricted Stock Units, the unvested portion of which will vest in quarterly installments as follows: 1,176 shares on July 1, 2012, 1,176 shares on October 1, 2012 and 1,176 shares on December 31, 2012. Includes 1,921 Restricted Stock Units, the unvested portion of which will vest in quarterly installments as follows: 384 shares on August 1, 2012, 385 shares on November 1, 2012, 384 shares on February 1, 2013, 384 shares on May 1, 2013 and 384 shares on August 1, 2013. Includes 17,096 Restricted Stock Units, the unvested portion of which will vest in annual installments as follows: 8,548 shares on January 1, 2013 and 8,548 shares on January 1, 2014. Includes 10,773 Restricted Stock Units, the unvested portion of which will vest in annual installments as follows: 3,591 shares on January 1, 2013, 3,591 shares on January 1, 2014 and 3,591 shares on January 1, 2015. Option currently exercisable. /s/ Richard B. McCain 2012-06-13