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EX-99.1 - KBW, INC.efc10-824_ex991.htm

UNITED STATES
 
SECURITIES AND EXCHANGE COMMISSION
 
Washington, D.C. 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):  December 7, 2010
 
 
KBW, INC.
 
(Exact name of registrant as specified in its charter)
 
Delaware
001-33138
13-4055775
(State or other jurisdiction
 of incorporation)
(Commission
File Number)
(I.R.S. Employer
Identification No.)
     
787 Seventh Avenue
New York, New York
(Address of principal executive offices)
 
10019
(Zip Code)
 
Registrant’s telephone number, including area code:  (212) 887-7777
Not Applicable
(Former name or former address, if changed since last report)

 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any following provisions:
□           Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
□           Soliciting material pursuant to Rule 14a-12(b) under the Exchange Act (17 CFR 240.14a- 12(b))
 
□           Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR  240.14d-2(b))
 
□           Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR  240.13e-4(c))
 

 
 

 

Item 7.01.  Regulation FD Disclosure.
 
On December 7, 2010,  KBW, Inc., a Delaware corporation (the “Company”), issued a press release (the “Press Release”), a copy of which is attached hereto as Exhibit 99.1, announcing that its board of directors declared a one-time special cash dividend of $1.00 per share of outstanding common stock, payable on December 27, 2010, to stockholders of record as of the close of business on December 17, 2010.
 
The Press Release, dated December 7, 2010 is furnished as Exhibit 99.1 to this report and is incorporated by reference herein.

The information furnished pursuant to Item 7.01, including Exhibit 99.1, shall not be deemed to be “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, and shall not be deemed to constitute an admission that such information or exhibit is required to be furnished pursuant to Regulation FD or that such information or exhibit contains material information that is not otherwise publicly available. In addition, the Company does not assume any obligation to update such information or exhibit in the future.
 
Item 9.01.  Financial Statements and Exhibits.
 
(d)           Exhibits
 
The following exhibit is furnished as part of this Current Report on Form 8-K:
 
99.1 Press Release issued by KBW, Inc. dated December 7, 2010.




 

 

 

 

 

 

SIGNATURES
 
 
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
 
Dated:  December 8, 2010
 
 
 
 
KBW, INC.
 
 
 
By:  /s/ Mitchell B. Kleinman
 
Name:  Mitchell B. Kleinman
 
Title:    General Counsel

 
 
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