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EX-99.1 - EX-99.1 - PENSON WORLDWIDE INCd71024exv99w1.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
Date of Report (Date of Earliest Event Reported): February 11, 2010
Penson Worldwide, Inc.
(Exact Name of Registrant as Specified in Charter)
         
Delaware
(State or Other Jurisdiction of
Incorporation)
  001-32878
(Commission File Number)
  75-2896356
(IRS Employer Identification
No.)
     
1700 Pacific Avenue, Suite 1400, Dallas, Texas
(Address of Principal
Executive Offices)
  75201
(Zip Code)
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 on February 11, 2010 reflecting earnings information for the quarter and year ended December 31, 2009.
     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 February 11, 2010.
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: February 11, 2010  /s Philip A. Pendergraft    
    Name:   Philip A. Pendergraft   
    Title:   Chief Executive Officer   

 


 

         
EXHIBIT INDEX
     
Exhibit    
No.   Description
 
99.1
  Press release, dated February 11, 2010.