Attached files
| file | filename |
|---|---|
| EX-99.1 - EX-99.1 - PENSON WORLDWIDE INC | d85597exv99w1.htm |
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): November 8, 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))
Item 2.02 Results of Financial Operations.
Penson Worldwide, Inc. issued a press release November 8, 2011 reflecting earnings information
for the quarter ended September 30, 2011.
Pursuant to General Instruction B.2 of Form 8-K, all of the information contained in this Form
8-K and the accompanying exhibit shall be deemed to be “furnished” and not “filed” for the purpose
of Section 18 of the Securities Exchange Act of 1934, as amended, and, therefore, shall not be
incorporated by reference in any filing under the Securities Act of 1933, as amended.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits.
99.1 Press release, dated November 8, 2011.
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: November 8, 2011 | /s/ Philip A. Pendergraft | |||
| Name: | Philip A. Pendergraft | |||
| Title: | Chief Executive Officer | |||
EXHIBIT INDEX
| Exhibit | ||||
| No. | Description | |||
| 99.1 | Press release, dated November 8, 2011. |
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