Penson Worldwide Inc (PNSNQ)

FINANCE: GENERAL FINANCE
SIC: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES
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1700 PACIFIC AVE DALLAS, TX 75201

Penson Worldwide Inc. through its subsidiaries provides a range of securities and futures processing infrastructure products and services to the securities and investment industry.

View SEC Filings from PNSNQ instead.
Q1 2021 All 13F Filers Prior Change Hedge Funds 1 Prior Change
In top 10: 0 0 0 (0.0%) 0 (0.0%)
Funds Holding: 1 1 0.0% (0.0%) (0.0%)
13F shares: 1 1 0.0%
% Ownership
New Positions:
Increased Positions
Closed Positions
Reduced Positions
Total Calls
Total Puts
PUT/CALL Ratio
1 hedge funds and active managers as identified by whalewisdom.com through public filings.

View recent insider trading info

Funds Holding PNSNQ (via 13F filings)

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*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding PNSNQ BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

MCCAIN RICHARD BARTO CHIEF FINANCIAL OFFICER

  • Officer
58,263 2012-10-01 0

ENGEL BRYCE PRESIDENT

  • Officer
115,428 2012-08-01 0

KOSLOW ANDREW B EXECUTIVE VP - GENERAL COUNSEL

  • Officer
74,880 2012-07-01 0

KELLY DAVID M

  • Director
88,898 2012-06-25 0

SCHUENEMAN DIANE LYNN

  • Director
268,245 2012-05-17 0

BASSO ROBERT S

  • Director
247,711 2012-05-17 0

JOHNSON DAVID

  • Director
224,834 2012-05-17 0

PENDERGRAFT PHILIP A CHIEF EXECUTIVE OFFICER

  • Officer
  • Director
884,327 2012-05-01 0

CHOCHON MICHAEL D CHIEF FINANCIAL OFFICER

  • Officer
0 2012-04-01 0

MCALEER KEVIN W CHIEF FINANCIAL OFFICER

  • Officer
90,609 2012-03-31 0

SMITH MARY AGNES GLOBAL CONTROLLER

  • Officer
8,671 2012-02-15 0

YANCEY CHARLES WILLIAM CEO OF REGISTRANT SUBSIDIARY

  • Officer
147,453 2012-01-31 0

ENGEMOEN ROGER J JR CHAIRMAN

ENGEMOEN INVESTMENTS LLC

ENGEMOEN FAMILY PARTNERSHIP LTD

  • Officer
  • Director
  • 10% Owner
2,475,377 2012-01-01 0

ENGEMOEN ROGER J JR CHAIRMAN

  • Officer
  • Director
2,435,377 2012-01-01 0

PRESBY MARK M CONTROLLER

  • Officer
7,679 2011-06-01 0

REED DAVID A

  • Director
40,873 2011-05-13 0

DYER JAMES S

  • Director
61,789 2011-04-28 0

JOHNSON THOMAS RICHARD

  • Director
545,054 2011-04-28 0

SON DANIEL P PRESIDENT

  • Officer
  • Director
775,165 2010-09-30 0

RAPHAEL ERAN SIMON EXECUTIVE VICE PRESIDENT

  • Officer
48,079 2010-07-01 0

DAN BERNARD W

  • Director
0 2008-04-29 0

STEINHART RONALD G

  • Director
13,000 2008-02-08 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days
No current insider transactions

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin
AQR Funds- AQR Diversified Arbitrage Fund PNSNQ -212307.0 shares, $0.0 2021-03-31 N-PORT

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