-----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, Pin90s9V/dLegjUib1DrO8MkqB9qaZEAC7/iizPoVoGKH2TQimOGVSmKbH1URBs9 1kN3we8c43rb2s1vqL145w== 0001140361-10-001342.txt : 20100108 0001140361-10-001342.hdr.sgml : 20100108 20100108171542 ACCESSION NUMBER: 0001140361-10-001342 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100106 FILED AS OF DATE: 20100108 DATE AS OF CHANGE: 20100108 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: 10518284 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 2010-01-06 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 2010-01-06 4 S 0 800 28.01 D 270724 I Shares held by the Andrew M. Senchak 2009 GRAT Common Stock, par value $0.01 per share 2010-01-07 4 S 0 3400 28.00 D 267324 I Shares held by the Andrew M. Senchak 2009 GRAT Common Stock, par value $0.01 per share 2010-01-08 4 A 0 0 0 A 217605 D Common Stock, par value $0.01 per share 2010-01-08 4 A 0 0 0 A 317567 I Shares held by the Andrew M. Senchak 2007 GRAT 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 by the Andrew M. Senchak 2009 Grantor Retained Annuity Trust ("GRAT") were sold at varying prices in the range of $28.00 - $28.02. 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 the remaining shares beneficially owned by Mr. Senchak. With regard to the 317,567 shares that are indirectly beneficially owned, 66,705 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 2010-01-08 -----END PRIVACY-ENHANCED MESSAGE-----