IPO registrations (S-1, F-1) · Registrants

KBW, INC.

SEC CIK: 1063494 · filings on EDGAR ↗
Former names: KBW INC (1998–2006)
Registration: Form S-1, first filed 1998-08-14, last 2006-11-08; 2 initial registrations, 6 amendments
Outcome: Final prospectus filed 2006-11-09; declared effective 2006-11-08; withdrawal requested 1999-05-21
Industry (SIC): Security Brokers, Dealers & Flotation Companies 6211
Business address: 787 SEVENTH AVENUE, New York, NY 10019
EIN: 13-4055775
EDGAR entity type: operating
Insiders and CEO pay: KBW, INC. on the corporate pages

Offering terms

Proposed price range: $19.00–$21.00 per share (S-1/A filed 2006-11-08)
Final price: $21.00 per share, within the range (424B4 filed 2006-11-09, an initial public offering)
Shares sold: 6,800,000
Gross proceeds: $142,800,000 before underwriting discounts and any over-allotment option
Listing: NYSE under the symbol KBW
Lead underwriters: KBW; Merrill Lynch
Syndicate: BofA Securities; JMP Securities; Thomas Weisel Partners; BNY Capital Markets, Inc; Morgan Keegan

Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.

On this site

SEC filer: KBW, INC. EXACT (CIK (EXACT))
Person page: James K Schmidt Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))

Filings 11

Filed	Form	What it is	Name as filed	EDGAR
1998-08-14	S-1	S-1 (registration)	KBW INC	0000898822-98-000798 ↗
1999-02-26	S-1/A	S-1/A (amendment)	KBW INC	0000898822-99-000087 ↗
1999-04-16	S-1/A	S-1/A (amendment)	KBW INC	0000940180-99-000422 ↗
1999-05-21	RW	RW (withdrawal request)	KBW INC	0000898822-99-000283 ↗
2006-08-11	S-1	S-1 (registration)	KBW INC	0001047469-06-010755 ↗
2006-09-28	S-1/A	S-1/A (amendment)	KBW, INC.	0001047469-06-012150 ↗
2006-10-23	S-1/A	S-1/A (amendment)	KBW, INC.	0001047469-06-012993 ↗
2006-11-03	S-1/A	S-1/A (amendment)	KBW, INC.	0001047469-06-013522 ↗
2006-11-08	S-1/A	S-1/A (amendment)	KBW, INC.	0001047469-06-013703 ↗
2006-11-08	EFFECT	EFFECT (declared effective)	KBW, INC.	9999999995-06-002235 ↗
2006-11-09	424B4	424B4 (final prospectus)	KBW, INC.	0001047469-06-013853 ↗

Prospectus pages read 2

Filed	Form	Read as	Range	Price	Shares	Proceeds	Listing	Underwriters	What was found	Document
2006-11-08	S-1/A	registration statement	$19.00–$21.00		6,800,000	-	NYSE KBW	7	primary document; range, shares headline, cover names 7	document ↗
2006-11-09	424B4	final prospectus		$21.00	6,800,000	$142,800,000	NYSE KBW	7	primary document; price table, shares headline, proceeds table, cover names 7	document ↗

Officers, directors and large holders Forms 3, 4 and 5

Insider	Role	Title	Filings	Years	On this site
Coats E Craig Jr	Officer	Head of Fixed Income	2	2006
Duffy John G	Director,Officer; Officer	Director, Chairman and CEO; Director, Vice Chairman	41	2006–2013
Giambrone Robert	Officer	Chief Financial Officer	25	2006–2013
HEALY DANIEL M	Director		11	2006–2013
Howard John N Jr	Officer	Head of Research	3	2006–2007
Kleinman Mitchell B	Officer	General Counsel	28	2006–2013
Michaud Thomas B.	Director,Officer	Dir., CEO, Pres. and V. Chair; Dir., CEO, Pres., and V. Chair; Dir., CEO, Pres. And V. Chair; Dir., CEO, Pres., Vice Chair.; Director, CEO; Director, Vice Chairman, COO	39	2006–2013
Moreno Vasco	Officer	Head of European Research	3	2006–2007
Penny James B	Officer	Executive Vice President	2	2006
Planer Robert G Jr	Officer	Head of Equity Sales	2	2006
Roth Peter	Officer	CEO of KBW Asset Management; CEO of KBW Asset Mgmt, Ltd.; CEO of KBW Asset Mgmt., Ltd.	3	2006–2007
Senchak Andrew M	Director,Officer	Director and Vice Chairman; Director, Chairman; Director, Vice chairman; Director, Vice Chairman	37	2006–2013
Wirth Peter J	Officer	Co-Head of Investment Banking	3	2006–2007
Wynne-Griffith Richard	Officer	Co-CEO and Director of KBW Ltd; Co-CEO of KBW, Ltd.	2	2006
CONDRON CHRISTOPHER M	Director		11	2007–2013
SCHMIDT JAMES K	Director		8	2007–2013	person page Fuzzy
ZIMMERMAN MICHAEL J	Director		8	2007–2013

Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.

Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.

Also on this site Fuzzy

Record	Name as filed	Where	Dataset	Matched by
SEC filer	KBW, INC.		SEC filers (EDGAR)	CIK (EXACT)
Person page	James K Schmidt		People (Form 990 officers, directors and employees)	officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director)

Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.

Others with the same interests

SIC industry Security Brokers, Dealers & Flotation Companies, NY first:

More with this interest.

In other datasets, the same topic (Finance) in NY:

Lobbying client: 3B1 PARTNERS (Federal lobbying (LDA))

Interests: Security Brokers, Dealers & Flotation Companies · Finance