Attached files
| file | filename |
|---|---|
| EX-99.1 - EX-99.1 - PENSON WORLDWIDE INC | d84472exv99w1.htm |
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SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM
8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15 (d) OF THE
SECURITIES EXCHANGE ACT OF 1934
SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of Earliest Event Reported): September 1, 2011
Penson Worldwide, Inc.
(Exact Name of Registrant as Specified in Charter)
| Delaware | 001-32878 | 75-2896356 | ||
| (State or Other Jurisdiction of | (Commission File Number) | (IRS Employer Identification | ||
| Incorporation) | No.) |
| 1700 Pacific Avenue, Suite 1400, Dallas, Texas | 75201 | |
| (Address of Principal | (Zip Code) | |
| Executive Offices) |
Registrant’s telephone number, including area code 214-765-1100
Check the appropriate box below if the Form 8-K is intended to simultaneously satisfy the filing
obligation of the registrant under any of the following provisions (see General Instruction
A.2. below):
| o | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) | |
| o | Soliciting material pursuant to Rule 14a-12(b) under the Exchange Act (17 CFR 240.14-12(b)) | |
| o | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) | |
| o | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
TABLE OF CONTENTS
| Item 8.01 Other Events | ||||||||
| Item 9.01 Financial Statements and Exhibits | ||||||||
| SIGNATURES | ||||||||
| EXHIBIT INDEX | ||||||||
| EX-99.1 | ||||||||
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Item 8.01 Other Events
On September 1, 2011, Penson Worldwide, Inc. (the “Company”) issued a press release reporting,
among other things, that it combined its U.S. broker-dealer and U.S. futures businesses into a
single entity, effective immediately. The Company’s subsidiary, Penson Financial Services, Inc.,
now includes the operations of Penson Financial Services and Penson Futures.
A copy of the press release regarding the above matters is attached hereto as Exhibit 99.1.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits
99.1
|
Press release, dated September 1, 2011. |
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly
caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| PENSON WORLDWIDE, INC. |
||||
| Date: September 1, 2011 | /s/ Philip A. Pendergraft | |||
| Name: | Philip A. Pendergraft | |||
| Title: | Chief Executive Officer | |||
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