KBW SEC-arkiveringar - Kbw, Inc.- Årsredovisning, Fullmaktsutlåtande, prospekt

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SEC Filings

All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis. These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Kbw, Inc.

SEC Filings (Chronological Order)

Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.

February 25, 2013	15-12B	- 15-12B 15-12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTION 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-33138 KBW LLC (Exact name of registrant as specified in its chart
February 19, 2013	EX-3.4	LIMITED LIABILITY COMPANY AGREEMENT SFKBW TWO, LLC Exhibit 3.4 LIMITED LIABILITY COMPANY AGREEMENT OF SFKBW TWO, LLC This Limited Liability Company Agreement of SFKBW TWO, LLC (the “Company”) is executed by its sole member, Stifel Financial Corp., a Delaware corporation (the “Member”) and effective as of this 5th day of November, 2012. 1. The Company. The Member caused the Company to be formed by filing its Certificate of Formation with the Secret
February 19, 2013	EX-99.1	STIFEL AND KBW COMPLETE MERGER Exhibit 99.1 FOR IMMEDIATE RELEASE STIFEL AND KBW COMPLETE MERGER ST. LOUIS & NEW YORK, February 15, 2013 – Stifel Financial Corp. (NYSE: SF) and KBW, Inc. today announced the completion of their previously announced merger. The combination creates a leading financial services specialized practice within the premier middle-market investment bank. “The financial services sector is one of the signif
February 19, 2013	EX-3.3	CERTIFICATE OF FORMATION SFKBW TWO, LLC Exhibit 3.3 CERTIFICATE OF FORMATION OF SFKBW TWO, LLC The undersigned, an authorized natural person, for the purpose of forming a limited liability company, under the provisions and subject to the requirements of the State of Delaware (particularly Chapter 18, Title 6 of the Delaware Code and the acts amendatory thereof and supplemental thereto, and known, identified, and referred to as the “Dela
February 19, 2013	S-8 POS	- S-8 POS S-8 POS As filed with the Securities and Exchange Commission on February 19, 2013 Registration No.
February 19, 2013	POS AM	- POST-EFFECTIVE AMENDMENT NO. 3 TO FORM S-3 Post-effective amendment No. 3 to Form S-3 As Filed with the Securities and Exchange Commission on February 19, 2013. Registration No. 333-174999 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 3 TO FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 KBW LLC (f/k/a/ KBW, Inc.) (Exact name of registrant as specified in its charter) Delaware 13-405
February 19, 2013	S-8 POS	- S-8 POS S-8 POS As filed with the Securities and Exchange Commission on February 19, 2013 Registration No.
February 19, 2013	S-8 POS	- S-8 POS S-8 POS As filed with the Securities and Exchange Commission on February 19, 2013 Registration No.
February 19, 2013	EX-3.1	AMENDED AND RESTATED CERTIFICATE OF INCORPORATION KBW, Inc. Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF KBW, Inc. FIRST: The name of the Corporation is KBW, Inc. SECOND: Its registered office in the State of Delaware is located at 2711 Centerville Road, Suite 400, Wilmington, Delaware 19808. The name and address of its registered agent are Corporation Service Company, 2711 Centerville Road, Suite 400, Wilmington, County of New Castle,
February 19, 2013	8-K	Changes in Control of Registrant, Material Modification to Rights of Security Holders - 8-K 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): February 15, 2013 KBW LLC (f/k/a KBW, Inc.) (Exact name of registrant as specified in charter) Delaware 001-33138 13-4055775 (State or other jurisdiction of incorporation) (Commission File Number)
February 19, 2013	EX-2.1	[The remainder of the page is intentionally left blank.] Exhibit 2.1 EXECUTION VERSION This AGREEMENT AND PLAN OF MERGER, dated as of February 15, 2013 (this “Agreement”), is entered into by and between SFKBW Two, LLC, a Delaware limited liability company (“Successor Subsidiary”), and KBW, Inc., a Delaware corporation (“KBW”). RECITALS WHEREAS, Section 209 of the Delaware Limited Liability Company Act (the “LLC Act”) and Section 264 of the General Corpo
February 19, 2013	S-8 POS	- S-8 POS As filed with the Securities and Exchange Commission on February 19, 2013 Registration No.
February 19, 2013	EX-3.2	AMENDED BYLAWS OF KBW, INC. ARTICLE I Exhibit 3.2 AMENDED BYLAWS OF KBW, INC. ARTICLE I Stockholders Section 1.1. Annual Meetings. An annual meeting of stockholders shall be held for the election of directors at such date, time and place either within or without the State of Delaware as may be designated by the Board of Directors from time to time. Stockholders may, unless the certificate of incorporation otherwise provides, act by wr
February 15, 2013	EX-99.25	EX-99.25 NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on February 26, 2013, pursuant to the provisions of Rule 12d2-2 (a).
February 13, 2013	SC 13G	KBW / Kbw, Inc. / VANGUARD GROUP INC Passive Investment kbwinc.htm - Generated by SEC Publisher for SEC Filing SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 0 )* Name of issuer: KBW Inc Title of Class of Securities: Common Stock CUSIP Number: 482423100 Date of Event Which Requires Filing of this Statement: December 31, 2012 Check the appropriate box to designate the rule
February 13, 2013	SC 13G/A	KBW / Kbw, Inc. / DEPRINCE RACE & ZOLLO INC - SCHEDULE 13G HOLDINGS REPORT AMENDMENT Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No.
February 12, 2013	EX-99.1	KBW, INC. STOCKHOLDERS APPROVE PROPOSED MERGER WITH STIFEL FINANCIAL CORP. Exhibit 99.1 KBW, INC. STOCKHOLDERS APPROVE PROPOSED MERGER WITH STIFEL FINANCIAL CORP. New York, NY, February 12, 2013 — KBW, Inc. (“KBW”) (NYSE: KBW) announced today that KBW stockholders voted overwhelmingly in favor of the proposals relating to the proposed merger with Stifel Financial Corp. (“Stifel”). At the duly held special meeting today, 99 percent of the shares present or represented by
February 12, 2013	8-K	- 8-K 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): February 12, 2013 KBW, INC. (Exact name of registrant as specified in charter) Delaware 001-33138 13-4055775 (State or other jurisdiction of incorporation) (Commission File Number) (I.R.S. Employer
February 7, 2013	SC 13G/A	KBW / Kbw, Inc. / PRICE T ROWE ASSOCIATES INC /MD/ - KBW AS OF 12/31/2012 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* KBW INC (Name of Issuer) COMMON STOCK (Title of Class of Securities) 482423100 (CUSIP Number) December 31, 2012 (Date of Event which Requires Filing of Statement) Check the appropriate box to designate the Rule pursuant to which this Schedule is filed: [
January 30, 2013	425	Merger Prospectus - 425 Filed by KBW, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: KBW, Inc. Commission File Number: 001-33138 YOUR VOTE IS IMPORTANT PLEASE VOTE YOUR PROXY TODAY January 30, 2013 Dear Stockholder: We have previously mailed to you proxy materials in connection with the Special Meeting of Stockh
January 11, 2013	SC 13G/A	KBW / Kbw, Inc. / JPMORGAN CHASE & CO - KBW, INC. SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G/A (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) ( AMENDMENT 1) KBW, Inc.
January 7, 2013	DEFM14A	- DEFM14A DEFM14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
January 4, 2013	425	Merger Prospectus - 8-K 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): January 4, 2013 KBW, INC. (Exact name of registrant as specified in charter) Delaware 001-33138 13-4055775 (State or other jurisdiction of incorporation) (Commission File Number) (I.R.S. Employer I
January 4, 2013	EX-99.1	KBW, INC. ANNOUNCES REVISED MEETING DATE FOR SPECIAL MEETING OF STOCKHOLDERS IN CONNECTION WITH MERGER AGREEMENT Exhibit 99.1 KBW, INC. ANNOUNCES REVISED MEETING DATE FOR SPECIAL MEETING OF STOCKHOLDERS IN CONNECTION WITH MERGER AGREEMENT New York, NY, January 4, 2013 — KBW, Inc. (“KBW”) (NYSE: KBW) announced today that it has established a revised meeting date for a special meeting of its stockholders to, among other things, consider and vote on a proposal to adopt the previously announced Agreement and Pla
January 4, 2013	EX-99.1	KBW, INC. ANNOUNCES REVISED MEETING DATE FOR SPECIAL MEETING OF STOCKHOLDERS IN CONNECTION WITH MERGER AGREEMENT Exhibit 99.1 KBW, INC. ANNOUNCES REVISED MEETING DATE FOR SPECIAL MEETING OF STOCKHOLDERS IN CONNECTION WITH MERGER AGREEMENT New York, NY, January 4, 2013 — KBW, Inc. (“KBW”) (NYSE: KBW) announced today that it has established a revised meeting date for a special meeting of its stockholders to, among other things, consider and vote on a proposal to adopt the previously announced Agreement and Pla
January 4, 2013	8-K	- 8-K 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): January 4, 2013 KBW, INC. (Exact name of registrant as specified in charter) Delaware 001-33138 13-4055775 (State or other jurisdiction of incorporation) (Commission File Number) (I.R.S. Employer I
December 21, 2012	8-K	- 8-K 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 17, 2012 KBW, INC. (Exact name of registrant as specified in charter) Delaware 001-33138 13-4055775 (State or other jurisdiction of incorporation) (Commission File Number) (I.R.S. Employer
December 14, 2012	EX-99.1	KBW, INC. ANNOUNCES RECORD DATE AND MEETING DATE FOR SPECIAL MEETING OF STOCKHOLDERS IN CONNECTION WITH MERGER AGREEMENT Exhibit 99.1 KBW, INC. ANNOUNCES RECORD DATE AND MEETING DATE FOR SPECIAL MEETING OF STOCKHOLDERS IN CONNECTION WITH MERGER AGREEMENT New York, NY, December 14, 2012 — KBW, Inc. (“KBW”) (NYSE: KBW) announced today that it has established a record date and a meeting date for a special meeting of its stockholders to, among other things, consider and vote on a proposal to adopt the previously announc
December 14, 2012	425	Merger Prospectus - 8-K 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 14, 2012 KBW, INC. (Exact name of registrant as specified in charter) Delaware 001-33138 13-4055775 (State or other jurisdiction of incorporation) (Commission File Number) (I.R.S. Employer
December 14, 2012	8-K	- 8-K 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 14, 2012 KBW, INC. (Exact name of registrant as specified in charter) Delaware 001-33138 13-4055775 (State or other jurisdiction of incorporation) (Commission File Number) (I.R.S. Employer
December 14, 2012	EX-99.1	KBW, INC. ANNOUNCES RECORD DATE AND MEETING DATE FOR SPECIAL MEETING OF STOCKHOLDERS IN CONNECTION WITH MERGER AGREEMENT Exhibit 99.1 KBW, INC. ANNOUNCES RECORD DATE AND MEETING DATE FOR SPECIAL MEETING OF STOCKHOLDERS IN CONNECTION WITH MERGER AGREEMENT New York, NY, December 14, 2012 — KBW, Inc. (“KBW”) (NYSE: KBW) announced today that it has established a record date and a meeting date for a special meeting of its stockholders to, among other things, consider and vote on a proposal to adopt the previously announc
December 5, 2012	425	Merger Prospectus - FORM 8-K 425VForm8K UNITED STATES 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): December 5, 2012 STIFEL FINANCIAL CORP.
December 3, 2012	425	Merger Prospectus - 425 Filed by Stifel Financial Corp. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: KBW, Inc. Commission File No.: 001-33138 Final Transcript Final Conference Call Transcript November 28, 2012 / KBW 2012 Securities Brokerage & Market Structure Conference CORPORATE PARTICIPANTS Ronald J. Kruszewski St
November 29, 2012	425	Merger Prospectus - 425 The following document will be presented to certain potential and existing clients and customers of KBW, Inc.
November 29, 2012	8-K	Financial Statements and Exhibits, Other Events - 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): November 29, 2012 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
November 29, 2012	EX-99	KBW, Inc. Declares Special Dividend of $2.00 per Share of Common Stock KBW, Inc. Declares Special Dividend of $2.00 per Share of Common Stock New York – November 29, 2012 – KBW, Inc. (NYSE: KBW), a full-service investment bank that specializes in the financial services sector, today announced that its Board of Directors had declared a special dividend of two dollars ($2.00) per share on the company’s common stock. The dividend is payable on December 17, 2012 to share
November 28, 2012	425	Merger Prospectus - FORM 8-K 425VForm8K UNITED STATES 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): November 28, 2012 STIFEL FINANCIAL CORP.
November 15, 2012	425	Merger Prospectus - 425 Filed by Stifel Financial Corp. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: KBW, Inc. Commission File No.: 001-33138 Final Transcript Final Conference Call Transcript November 13, 2012 / BAML 2012 Banking and Financial Services Conference CORPORATE PARTICIPANTS Ronald J. Kruszewski Stifel Fin
November 13, 2012	EX-99.1	EX-99.1 rexv99x1 Exhibit 99.1
November 13, 2012	425	UNITED STATES 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): November 13, 2012 STIFEL FINANCIAL Form 8-K UNITED STATES 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): November 13, 2012 STIFEL FINANCIAL CORP.
November 13, 2012	EX-99.1	EX-99.1
November 9, 2012	EX-2.1	AGREEMENT AND PLAN OF MERGER dated as of NOVEMBER 5, 2012 STIFEL FINANCIAL CORP. KBW, INC. EXHIBIT 2.1 AGREEMENT AND PLAN OF MERGER dated as of NOVEMBER 5, 2012 between STIFEL FINANCIAL CORP. and KBW, INC. TABLE OF CONTENTS Page ARTICLE 1 Definitions 1 Section 1.01 Definitions 1 Section 1.02 Other Definitional and Interpretative Provisions 9 ARTICLE 2 The Merger 10 Section 2.01 The Merger 10 ARTICLE 3 Conversion of the Common Stock; Exchange of Certificates 10 Section 3.01 Effect on Cap
November 9, 2012	EX-10.2	2 EXHIBIT 10.2 Execution Version November 5, 2012 Andrew M. Senchak At the address on file with the Company Re: Waiver Agreement Dear Andy: This waiver agreement (this “Agreement”) is being entered into in connection with the Agreement and Plan of Merger, dated November 5, 2012 (the “Acquisition Agreement”), Stifel Financial Corp. (the “Buyer”) and KBW, Inc. (the “Company”). It is a condition to the
November 9, 2012	EX-10.1	2 EXHIBIT 10.1 Execution Version November 5, 2012 Thomas B. Michaud At the address on file with the Company Re: Waiver Agreement Dear Tom: This waiver agreement (this “Agreement”) is being entered into in connection with the Agreement and Plan of Merger, dated November 5, 2012 (the “Acquisition Agreement”), Stifel Financial Corp. (the “Buyer”) and KBW, Inc. (the “Company”). It is a condition to the
November 9, 2012	EX-10.5	Terms Agreement EXHIBIT 10.5 Terms Agreement WHEREAS on November 5, 2012, Stifel Financial Corp. (“Purchaser”) entered into a merger agreement (“Merger Agreement”) whereby, subject to satisfaction of specified conditions, Purchaser will purchase all of the outstanding shares of common stock of KBW, Inc. (“Seller”) and merge Seller into the operations of Purchaser (the “Merger”); and WHEREAS, Seller and Mitchell K
November 9, 2012	EX-10.8	RESTRICTED STOCK AGREEMENT EXHIBIT 10.8 Retention RSA (CEO) RESTRICTED STOCK AGREEMENT THIS RESTRICTED STOCK AGREEMENT (this “Agreement”), between KBW, Inc., a Delaware corporation (the “Company”), and Thomas B. Michaud (the “Employee”), is entered into on the Grant Date. W I T N E S S E T H In consideration of the mutual promises and covenants made herein and the mutual benefits to be derived herefrom, the parties hereto a
November 9, 2012	EX-10.6	RESTRICTED STOCK AGREEMENT EXHIBIT 10.6 Transition RSA CEO RESTRICTED STOCK AGREEMENT THIS RESTRICTED STOCK AGREEMENT (this “Agreement”), between KBW, Inc., a Delaware corporation (the “Company”), and Thomas B. Michaud (the “Employee”), is entered into on the Grant Date. W I T N E S S E T H In consideration of the mutual promises and covenants made herein and the mutual benefits to be derived herefrom, the parties hereto ag
November 9, 2012	EX-10.3	2 EXHIBIT 10.3 Execution Version November 5, 2012 John G. Duffy At the address on file with the Company Re: Waiver Agreement Dear John: This waiver agreement (this “Agreement”) is being entered into in connection with the Agreement and Plan of Merger, dated November 5, 2012 (the “Acquisition Agreement”), Stifel Financial Corp. (the “Buyer”) and KBW, Inc. (the “Company”). It is a condition to the Buy
November 9, 2012	10-Q	Quarterly Report - 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2012 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe
November 9, 2012	EX-10.3	2 EXHIBIT 10.3 Execution Version November 5, 2012 John G. Duffy At the address on file with the Company Re: Waiver Agreement Dear John: This waiver agreement (this “Agreement”) is being entered into in connection with the Agreement and Plan of Merger, dated November 5, 2012 (the “Acquisition Agreement”), Stifel Financial Corp. (the “Buyer”) and KBW, Inc. (the “Company”). It is a condition to the Buy
November 9, 2012	EX-10.7	RESTRICTED STOCK AGREEMENT EXHIBIT 10.7 Transition RSA RESTRICTED STOCK AGREEMENT THIS RESTRICTED STOCK AGREEMENT (this “Agreement”), between KBW, Inc., a Delaware corporation (the “Company”), and [EMPLOYEE NAME] (the “Employee”), is entered into on the Grant Date. W I T N E S S E T H In consideration of the mutual promises and covenants made herein and the mutual benefits to be derived herefrom, the parties hereto agree as
November 9, 2012	EX-10.7	RESTRICTED STOCK AGREEMENT EX-10.7 9 a12-264541ex10d7.htm EX-10.7 EXHIBIT 10.7 Transition RSA RESTRICTED STOCK AGREEMENT THIS RESTRICTED STOCK AGREEMENT (this “Agreement”), between KBW, Inc., a Delaware corporation (the “Company”), and [EMPLOYEE NAME] (the “Employee”), is entered into on the Grant Date. W I T N E S S E T H In consideration of the mutual promises and covenants made herein and the mutual benefits to be derive
November 9, 2012	425	Merger Prospectus - 8-K 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): November 5, 2012 KBW, INC. (Exact name of registrant as specified in charter) Delaware 001-33138 13-4055775 (State or other jurisdiction of incorporation) (Commission File Number) (I.R.S. Employer
November 9, 2012	EX-10.4	Terms Agreement EXHIBIT 10.4 Terms Agreement WHEREAS, on November 5, 2012 Stifel Financial Corp. (“Purchaser”) entered into a merger agreement (“Merger Agreement”) whereby, subject to satisfaction of specified conditions, Purchaser will purchase all of the outstanding shares of common stock of KBW, Inc. (“Seller”) and merge Seller into the operations of Purchaser (the “Merger”); and WHEREAS, Seller and Robert Gia
November 9, 2012	EX-10.2	2 EXHIBIT 10.2 Execution Version November 5, 2012 Andrew M. Senchak At the address on file with the Company Re: Waiver Agreement Dear Andy: This waiver agreement (this “Agreement”) is being entered into in connection with the Agreement and Plan of Merger, dated November 5, 2012 (the “Acquisition Agreement”), Stifel Financial Corp. (the “Buyer”) and KBW, Inc. (the “Company”). It is a condition to the
November 9, 2012	EX-10.1	2 EXHIBIT 10.1 Execution Version November 5, 2012 Thomas B. Michaud At the address on file with the Company Re: Waiver Agreement Dear Tom: This waiver agreement (this “Agreement”) is being entered into in connection with the Agreement and Plan of Merger, dated November 5, 2012 (the “Acquisition Agreement”), Stifel Financial Corp. (the “Buyer”) and KBW, Inc. (the “Company”). It is a condition to the
November 9, 2012	EX-10.6	RESTRICTED STOCK AGREEMENT EX-10.6 8 a12-264541ex10d6.htm EX-10.6 EXHIBIT 10.6 Transition RSA CEO RESTRICTED STOCK AGREEMENT THIS RESTRICTED STOCK AGREEMENT (this “Agreement”), between KBW, Inc., a Delaware corporation (the “Company”), and Thomas B. Michaud (the “Employee”), is entered into on the Grant Date. W I T N E S S E T H In consideration of the mutual promises and covenants made herein and the mutual benefits to be
November 9, 2012	EX-2.1	AGREEMENT AND PLAN OF MERGER dated as of NOVEMBER 5, 2012 STIFEL FINANCIAL CORP. KBW, INC. EXHIBIT 2.1 AGREEMENT AND PLAN OF MERGER dated as of NOVEMBER 5, 2012 between STIFEL FINANCIAL CORP. and KBW, INC. TABLE OF CONTENTS Page ARTICLE 1 Definitions 1 Section 1.01 Definitions 1 Section 1.02 Other Definitional and Interpretative Provisions 9 ARTICLE 2 The Merger 10 Section 2.01 The Merger 10 ARTICLE 3 Conversion of the Common Stock; Exchange of Certificates 10 Section 3.01 Effect on Cap
November 9, 2012	8-K	- 8-K 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): November 5, 2012 KBW, INC. (Exact name of registrant as specified in charter) Delaware 001-33138 13-4055775 (State or other jurisdiction of incorporation) (Commission File Number) (I.R.S. Employer
November 9, 2012	EX-10.4	Terms Agreement EXHIBIT 10.4 Terms Agreement WHEREAS, on November 5, 2012 Stifel Financial Corp. (“Purchaser”) entered into a merger agreement (“Merger Agreement”) whereby, subject to satisfaction of specified conditions, Purchaser will purchase all of the outstanding shares of common stock of KBW, Inc. (“Seller”) and merge Seller into the operations of Purchaser (the “Merger”); and WHEREAS, Seller and Robert Gia
November 9, 2012	EX-10.5	Terms Agreement EXHIBIT 10.5 Terms Agreement WHEREAS on November 5, 2012, Stifel Financial Corp. (“Purchaser”) entered into a merger agreement (“Merger Agreement”) whereby, subject to satisfaction of specified conditions, Purchaser will purchase all of the outstanding shares of common stock of KBW, Inc. (“Seller”) and merge Seller into the operations of Purchaser (the “Merger”); and WHEREAS, Seller and Mitchell K
November 9, 2012	EX-10.8	RESTRICTED STOCK AGREEMENT EXHIBIT 10.8 Retention RSA (CEO) RESTRICTED STOCK AGREEMENT THIS RESTRICTED STOCK AGREEMENT (this “Agreement”), between KBW, Inc., a Delaware corporation (the “Company”), and Thomas B. Michaud (the “Employee”), is entered into on the Grant Date. W I T N E S S E T H In consideration of the mutual promises and covenants made herein and the mutual benefits to be derived herefrom, the parties hereto a
November 8, 2012	425	Merger Prospectus - 425 Filed by Stifel Financial Corp. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: KBW, Inc. Commission File No.: 001-33138 Final Transcript Final Conference Call Transcript November 5, 2012 / 8:30 a.m. EST - SF Q3 2012 Stifel Financial Earnings Conference Call / Stifel Financial and KBW Announce St
November 5, 2012	EX-99.1	STIFEL FINANCIAL AND KBW ANNOUNCE STRATEGIC MERGER Creating a Leading Financial Services Specialized Practice Within the Premier Middle-Market Investment Bank Exhibit 99.1 STIFEL FINANCIAL AND KBW ANNOUNCE STRATEGIC MERGER Creating a Leading Financial Services Specialized Practice Within the Premier Middle-Market Investment Bank ST. LOUIS and NEW YORK, November 5, 2012 — Stifel Financial Corp. (NYSE: SF) and KBW, Inc. (NYSE: KBW) today announced that they have entered into a definitive merger agreement to create the premier middle-market investment bank
November 5, 2012	8-K	Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Costs Associated with Exit or Disposal Activities, Results of Operations and Financial Condition - 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): November 4, 2012 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)
November 5, 2012	425	Merger Prospectus - 8-K 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): November 5, 2012 KBW, INC. (Exact name of registrant as specified in charter) Delaware 001-33138 13-4055775 (State or other jurisdiction of incorporation) (Commission File Number) (I.R.S. Employer
November 5, 2012	EX-99.2	Presentation to Investors November 5, 2012 Ronald J. Kruszewski Chairman of the Board, President, and CEO Stifel Financial Corp. Thomas B. Michaud President and CEO KBW, Inc. Building the Premier Middle-Market Investment Bank Exhibit 99.2 Presentation to Investors November 5, 2012 Ronald J. Kruszewski Chairman of the Board, President, and CEO Stifel Financial Corp. Thomas B. Michaud President and CEO KBW, Inc. Building the Premier Middle-Market Investment Bank Forward-Looking Statements Statements in this presentation that relate to the future plans, events, expectations, performance, objectives and the like of Stifel
November 5, 2012	EX-99.2	Presentation to Investors November 5, 2012 Ronald J. Kruszewski Chairman of the Board, President, and CEO Stifel Financial Corp. Thomas B. Michaud President and CEO KBW, Inc. Building the Premier Middle-Market Investment Bank Exhibit 99.2 Presentation to Investors November 5, 2012 Ronald J. Kruszewski Chairman of the Board, President, and CEO Stifel Financial Corp. Thomas B. Michaud President and CEO KBW, Inc. Building the Premier Middle-Market Investment Bank Forward-Looking Statements Statements in this presentation that relate to the future plans, events, expectations, performance, objectives and the like of Stifel
November 5, 2012	425	Merger Prospectus - 425 r425
November 5, 2012	EX-99.1	KBW, Inc. Announces 2012 Third Quarter Results and Declares Quarterly Cash Dividend Exhibit 99.1 PRESS RELEASE KBW, Inc. Announces 2012 Third Quarter Results and Declares Quarterly Cash Dividend New York, NY – November 5, 2012 – KBW, Inc. (NYSE: KBW), a full-service investment bank that specializes in the financial services sector, today announced revenues of $50.6 million and a non-GAAP operating net loss of $3.1 million, or $0.11 per diluted share, for the quarter ended Septemb
November 5, 2012	425	Merger Prospectus - 425 Filed by KBW, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: KBW, Inc. Commission File Number: 001-33138 The following email was sent to clients and customers of KBW, Inc. on November 5, 2012. Strategic Merger: Announced Date: Deal Value: Stifel Financial Corp. (St. Louis, MO) and KBW In
November 5, 2012	EX-99.1	STIFEL FINANCIAL AND KBW ANNOUNCE STRATEGIC MERGER Creating a Leading Financial Services Specialized Practice Within the Premier Middle-Market Investment Bank Exhibit 99.1 STIFEL FINANCIAL AND KBW ANNOUNCE STRATEGIC MERGER Creating a Leading Financial Services Specialized Practice Within the Premier Middle-Market Investment Bank ST. LOUIS and NEW YORK, November 5, 2012 — Stifel Financial Corp. (NYSE: SF) and KBW, Inc. (NYSE: KBW) today announced that they have entered into a definitive merger agreement to create the premier middle-market investment bank
November 5, 2012	8-K	- 8-K 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): November 5, 2012 KBW, INC. (Exact name of registrant as specified in charter) Delaware 001-33138 13-4055775 (State or other jurisdiction of incorporation) (Commission File Number) (I.R.S. Employer
November 5, 2012	425	Merger Prospectus - 425 Filed by Stifel Financial Corp. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: KBW, Inc. Commission File No.: 001-33138 From: Ron Kruszewski To: All Employees Sent: Monday, November 5, 2012 Subject: Stifel Financial and Keefe, Bruyette & Woods Announce Strategic Merger Attached Press Release Col
August 8, 2012	10-Q	Quarterly Report - 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2012 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 00
August 2, 2012	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition - 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): August 2, 2012 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) (
August 2, 2012	EX-99.1	KBW, Inc. Announces 2012 Second Quarter and First Half Results and Declares Quarterly Cash Dividend Exhibit 99.1 PRESS RELEASE FOR IMMEDIATE RELEASE KBW, Inc. Announces 2012 Second Quarter and First Half Results and Declares Quarterly Cash Dividend New York, NY – August 2, 2012 – KBW, Inc. (NYSE: KBW), a full-service investment bank that specializes in the financial services sector, today announced revenues of $55.4 million and a non-GAAP operating net loss of $4.7 million, or $0.16 per diluted
June 22, 2012	S-8	- S-8 As filed with the Securities and Exchange Commission on June 22, 2012 Registration No.
June 13, 2012	8-K	Submission of Matters to a Vote of Security Holders - 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): June 12, 2012 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
June 1, 2012	DEFA14A	- DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin
May 8, 2012	10-Q	Quarterly Report - 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2012 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0
April 27, 2012	DEF 14A	- DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14
April 27, 2012	DEFA14A	- DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin
April 26, 2012	EX-99.1	KBW, Inc. Announces 2012 First Quarter Results and Declares Quarterly Cash Dividend Exhibit 99.1 PRESS RELEASE FOR IMMEDIATE RELEASE KBW, Inc. Announces 2012 First Quarter Results and Declares Quarterly Cash Dividend New York, NY – April 26, 2012 – KBW, Inc. (NYSE: KBW), a full-service investment bank that specializes in the financial services sector, today announced revenues of $69.2 million and non-GAAP operating net income of $2.0 million, or $0.06 per diluted share, for the q
April 26, 2012	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition - 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): April 26, 2012 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) (
March 2, 2012	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - 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): February 29, 2012 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
February 29, 2012	EX-12.1	KBW, INC. AND SUBSIDIARIES Exhibit 12.1 KBW, INC. AND SUBSIDIARIES COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES (Dollars in thousands) December 31, 2011 2010 2009 2008 2007 Fixed Charges: Interest expense $ 1,017 $ 1,104 1,151 4,603 $ 14,732 Rental expense deemed to be interest 4,685 4,734 4,604 4,177 3,746 Total fixed charges $ 5,702 $ 5,838 $ 5,755 $ 8,780 $ 18,478 Earnings/(Losses): Income/(loss) before income tax e
February 29, 2012	POS AM	- As filed with the Securities and Exchange Commission on February 29, 2012 Registration No.
February 28, 2012	10-K	Annual Report - 10-K Use these links to rapidly review the document TABLE OF CONTENTS Item 8. Financial Statements and Supplementary Data INDEX TO CONSOLIDATED FINANCIAL STATEMENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2011 Commission
February 28, 2012	EX-10.16	RESTRICTED STOCK AGREEMENT QuickLinks - Click here to rapidly navigate through this document Exhibit 10.16 RESTRICTED STOCK AGREEMENT THIS AGREEMENT (this "Agreement"), between KBW, Inc., a Delaware corporation (the "Company"), and the employee executing this agreement (the "Employee"), dated as of the Date of Grant (the "Grant Date") in the notice dated February 29, 2012 (the "February 9 Notice") (which notice insofar as i
February 28, 2012	EX-21.1	List of Subsidiaries of KBW, Inc. QuickLinks - Click here to rapidly navigate through this document Exhibit 21.1 List of Subsidiaries of KBW, Inc. State or Other Jurisdiction of Organization Keefe, Bruyette & Woods, Inc. New York Keefe, Bruyette & Woods Limited United Kingdom Keefe, Bruyette & Woods Asia Limited Hong Kong KBW Asset Management, Inc. Delaware KBW Ventures, Inc. Delaware QuickLinks Exhibit 21.1 List of Subsidiaries o
February 24, 2012	EX-12.1	KBW, INC. AND SUBSIDIARIES COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES (Dollars in thousands) Exhibit 12.1 KBW, INC. AND SUBSIDIARIES COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES (Dollars in thousands) December 31, Nine Months Ended September 30, 2011 2010 2009 2008 2007 2006 Fixed Charges: Interest expense $ 849 $ 1,104 1,151 4,603 $ 14,732 $ 11,023 Rental expense deemed to be interest 3,526 4,734 4,604 4,177 3,746 3,837 Total fixed charges $ 4,375 $ 5,838 $ 5,755 $ 8,780 $ 18,478 $
February 24, 2012	POSASR	- As filed with the Securities and Exchange Commission on February 24, 2012 Registration No.
February 23, 2012	EX-10.1	RESTRICTED STOCK AGREEMENT Exhibit 10.1 RESTRICTED STOCK AGREEMENT THIS AGREEMENT (this “Agreement”), between KBW, Inc., a Delaware corporation (the “Company”), and [EMPLOYEE NAME] (the “Employee”), dated February 29, 2012 (the “Grant Date”). W I T N E S S E T H In consideration of the mutual promises and covenants made herein and the mutual benefits to be derived herefrom, the parties hereto agree as follows: 1. Grant, Ves
February 23, 2012	EX-99.1	KBW, Inc. Announces 2011 Fourth Quarter and Full-Year Results, Including Restructuring Charges and Declares Quarterly Cash Dividend Exhibit 99.1 PRESS RELEASE FOR IMMEDIATE RELEASE KBW, Inc. Announces 2011 Fourth Quarter and Full-Year Results, Including Restructuring Charges and Declares Quarterly Cash Dividend New York, NY – February 23, 2012 – KBW, Inc. (NYSE: KBW), a full-service investment bank that specializes in the financial services sector, today announced revenues of $54.9 million and a non-GAAP operating net loss of
February 23, 2012	8-K	Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Results of Operations and Financial Condition 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): February 21, 2012 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
February 10, 2012	SC 13G/A	KBW / Kbw, Inc. / PRICE T ROWE ASSOCIATES INC /MD/ - 12/31/2011 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* KBW INC (Name of Issuer) COMMON STOCK (Title of Class of Securities) 482423100 (CUSIP Number) December 31, 2011 (Date of Event which Requires Filing of Statement) Check the appropriate box to designate the Rule pursuant to which this Schedule is filed: [
January 27, 2012	EX-10.1	January 24, 2012 Exhibit 10.1 January 24, 2012 John G. Duffy KBW, Inc. 787 7th Avenue New York, NY 10019 Re: Notice of Non-Extension of Employment Agreement (“Notice”) Dear Mr. Duffy: Reference is made to the Employment Agreement (the “Agreement”), entered into by and between you and KBW, Inc., a Delaware corporation (the “Company”), dated as of February 1, 2010. All capitalized terms used herein and not otherwise
January 27, 2012	EX-10.3	EMPLOYMENT AGREEMENT Exhibit 10.3 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) by and between KBW, Inc. (the “Company”) and Robert Giambrone (the “Executive”), dated January 25, 2012. WHEREAS, the Company is desirous of continuing to employ the Executive in an executive capacity on the terms and conditions, and for the consideration, hereinafter set forth, and the Executive is desirous of being em
January 27, 2012	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits - 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): January 24, 2012 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)
January 27, 2012	EX-10.2	January 24, 2012 Exhibit 10.2 January 24, 2012 Andrew M. Senchak KBW, Inc. 787 7th Avenue New York, NY 10019 Re: Notice of Non-Extension of Employment Agreement (“Notice”) Dear Mr. Senchak: Reference is made to the Employment Agreement (the “Agreement”), entered into by and between you and KBW, Inc., a Delaware corporation (the “Company”), dated as of February 1, 2010. All capitalized terms used herein and not oth
January 27, 2012	EX-10.4	EMPLOYMENT AGREEMENT Exhibit 10.4 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) by and between KBW, Inc. (the “Company”) and Mitchell B. Kleinman (the “Executive”), dated January 25, 2012. WHEREAS, the Company is desirous of continuing to employ the Executive in an executive capacity on the terms and conditions, and for the consideration, hereinafter set forth, and the Executive is desirous of bein
January 19, 2012	SC 13G	KBW / Kbw, Inc. / JPMORGAN CHASE & CO - KBW, INC. Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) KBW, Inc.
November 4, 2011	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2011 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe
October 27, 2011	8-K	Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Costs Associated with Exit or Disposal Activities, Results of Operations and Financial Condition, Other Events 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): October 27, 2011 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)
October 27, 2011	EX-99.2	2 Exhibit 99.2 Relationships with Our Directors and Executive Officers In addition to the Executive Agreements between us and each of the named executive officers that are currently in effect, which are described under ?Agreements with the Named Executive Officers? beginning on page 41, certain relationships between the Company and our directors or executive officers are described below. Securities
October 27, 2011	EX-99.1	KBW, Inc. Announces Executive Management Succession, Third Quarter Results, Workforce Reduction Program, Quarterly Cash Dividend and Increase in Stock Repurchase Program Exhibit 99.1 PRESS RELEASE FOR IMMEDIATE RELEASE KBW, Inc. Announces Executive Management Succession, Third Quarter Results, Workforce Reduction Program, Quarterly Cash Dividend and Increase in Stock Repurchase Program New York, NY – October 27, 2011 – KBW, Inc. (NYSE: KBW), a full-service investment bank that specializes in the financial services sector, is announcing that Thomas B. Michaud has b
September 2, 2011	10-Q/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A Amendment No. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A Amendment No. 1 (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2011 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 00
August 5, 2011	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2011 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 00
July 29, 2011	8-K	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): July 29, 2011 KBW, INC. (Exact na 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): July 29, 2011 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
July 29, 2011	EX-99.1	KBW, Inc. Announces 2011 Second Quarter and First Half Results and Declares Quarterly Cash Dividend Exhibit 99.1 PRESS RELEASE FOR IMMEDIATE RELEASE KBW, Inc. Announces 2011 Second Quarter and First Half Results and Declares Quarterly Cash Dividend New York, NY – July 29, 2011 – KBW, Inc. (NYSE: KBW), a full-service investment bank that specializes in the financial services sector, today announced revenues of $64.0 million and a net loss of $4.2 million, or $0.14 per diluted share, for the quart
June 17, 2011	S-3ASR	As filed with the Securities and Exchange Commission on June 17, 2011 As filed with the Securities and Exchange Commission on June 17, 2011 Registration No.
June 17, 2011	EX-12.1	KBW, INC. AND SUBSIDIARIES COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES (Dollars in thousands) Exhibit 12.1 KBW, INC. AND SUBSIDIARIES COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES (Dollars in thousands) December 31, Three Months Ended March 31, 2011 2010 2009 2008 2007 2006 Fixed Charges: Interest expense $ 309 $ 1,104 1,151 4,603 $ 14,732 $ 11,023 Rental expense deemed to be interest 1,185 4,734 4,604 4,177 3,746 3,837 Total fixed charges $ 1,494 $ 5,838 $ 5,755 $ 8,780 $ 18,478 $ 14,
June 15, 2011	8-K	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): June 13, 2011 KBW, INC. (Exact na 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): June 13, 2011 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
May 6, 2011	DEFR14A	UNITED STATES Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14
May 6, 2011	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2011 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0
April 29, 2011	DEFA14A	UNITED STATES UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin
April 29, 2011	DEF 14A	UNITED STATES Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14
April 28, 2011	EX-99.1	KBW, Inc. Announces First Quarter 2011 Results and Declares Quarterly Cash Dividend Exhibit 99.1 PRESS RELEASE FOR IMMEDIATE RELEASE KBW, Inc. Announces First Quarter 2011 Results and Declares Quarterly Cash Dividend New York, NY – April 28, 2011 – KBW, Inc. (NYSE: KBW), a full-service investment bank that specializes in the financial services sector, today announced revenues of $95.2 million and net income of $4.6 million, or $0.13 per diluted share, for the quarter ended March
April 28, 2011	8-K	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): April 28, 2011 KBW, INC. (Exact n 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): April 28, 2011 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) (
April 8, 2011	SC 13G/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* KBW, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) (CUSIP Number) March 31, 2011 (Da UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* KBW, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 482423100 (CUSIP Number) March 31, 2011 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is file
March 24, 2011	EX-10.1	Performance Equity Award Agreement March 21, 2011 Exhibit 10.1 Performance Equity Award Agreement March 21, 2011 [Name] [Address] Dear [Name]: You have been selected by the Compensation Committee of the Board of Directors (the “Board”) of KBW, Inc. (“KBW”) to receive a long term incentive award under the KBW, Inc. 2009 Incentive Compensation Plan (the “Plan”) in the form of performance equity awards (“Performance Equity Awards”) described below.
March 24, 2011	8-K	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): March 21, 2011 KBW, INC. (Exact n 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): March 21, 2011 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) (
February 25, 2011	EX-10.14	RESTRICTED STOCK AGREEMENT QuickLinks - Click here to rapidly navigate through this document EXHIBIT 10.14 RESTRICTED STOCK AGREEMENT THIS AGREEMENT (this "Agreement"), between KBW, Inc., a Delaware corporation (the "Company"), and the employee executing this agreement (the "Employee"), dated as of the Date of Grant (the "Grant Date") in the notice dated February 7, 2011 (the "February 7 Notice") (which notice insofar as it
February 25, 2011	EX-10.21	Amendment to Amended and Restated Change of Control Agreement QuickLinks - Click here to rapidly navigate through this document EXHIBIT 10.21 This exhibit amends the agreement between KBW, Inc. and the executive that was included as an exhibit to KBW Inc.'s previously filed periodic reports with the Securities and Exchange Commission. The agreement was amended as set forth below in order to comply with certain technical requirements of Section 409A of the In
February 25, 2011	EX-10.24	Amendment to Amended and Restated Change of Control Agreement QuickLinks - Click here to rapidly navigate through this document EXHIBIT 10.24 This exhibit amends the agreement between KBW, Inc. and the executive that was included as an exhibit to KBW Inc.'s previously filed periodic reports with the Securities and Exchange Commission. The agreement was amended as set forth below in order to comply with certain technical requirements of Section 409A of the In
February 25, 2011	EX-21.1	List of Subsidiaries of KBW, Inc. QuickLinks - Click here to rapidly navigate through this document Exhibit 21.1 List of Subsidiaries of KBW, Inc. State or Other Jurisdiction of Organization Keefe, Bruyette & Woods, Inc. New York Keefe, Bruyette & Woods Limited United Kingdom Keefe, Bruyette & Woods Asia Limited Hong Kong KBW Asset Management, Inc. Delaware KBW Ventures, Inc. Delaware QuickLinks Exhibit 21.1 List of Subsidiaries o
February 25, 2011	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2010 Commission file number 001-33138 KBW, I Use these links to rapidly review the document TABLE OF CONTENTS Item 8. Financial Statements and Supplementary Data INDEX TO CONSOLIDATED FINANCIAL STATEMENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2010 Commission
February 17, 2011	EX-99.1	KBW, Inc. Announces 2010 Fourth Quarter and Full-Year Results and Declares Quarterly Cash Dividend Exhibit 99.1 PRESS RELEASE FOR IMMEDIATE RELEASE KBW, Inc. Announces 2010 Fourth Quarter and Full-Year Results and Declares Quarterly Cash Dividend New York, NY ? February 17, 2011 ? KBW, Inc. (NYSE: KBW), a full-service investment bank that specializes in the financial services sector, today announced total revenues for 2010 were $425.9 million, an increase of 10.0% above those of 2009. Revenues
February 17, 2011	8-K	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): February 11, 2011 KBW, INC. (Exac 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): February 11, 2011 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
February 14, 2011	SC 13G	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* KBW, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) (CUSIP Number) December 31, 2010 ( KBW, Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* KBW, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 482423100 (CUSIP Number) December 31, 2010 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sche
February 8, 2011	EX-10.1	RESTRICTED STOCK AGREEMENT Exhibit 10.1 RESTRICTED STOCK AGREEMENT THIS AGREEMENT (this “Agreement”), between KBW, Inc., a Delaware corporation (the “Company”), and [EMPLOYEE NAME] (the “Employee”), dated February 4, 2011 (the “Grant Date”). W I T N E S S E T H In consideration of the mutual promises and covenants made herein and the mutual benefits to be derived herefrom, the parties hereto agree as follows: 1. Grant, Vest
February 8, 2011	8-K	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): February 4, 2011 KBW, INC. (Exact 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): February 4, 2011 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)
December 8, 2010	8-K	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 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)
December 8, 2010	EX-99.1	KBW, Inc. Announces Special Cash Dividend of $1.00 per Share of Common Stock Exhibit 99.1 KBW, Inc. Announces Special Cash Dividend of $1.00 per Share of Common Stock New York, NY – December 7, 2010 – KBW, Inc. (NYSE: KBW), a full-service investment bank that specializes in the financial services sector, today announced that its Board of Directors has declared a special dividend of $1.00 per share of its outstanding common stock, payable on December 27, 2010 to shareholder
November 5, 2010	EX-10.1	November 1, 2010 Exhibit 10.1 November 1, 2010 Robert Giambrone KBW, Inc. 787 7th Avenue New York, NY 10019 Re: Notice of Non-Extension of Change of Control Agreement (“Notice”) Dear Mr. Giambrone: Reference is made to the Amended and Restated Change of Control Agreement (the “Agreement”), entered into by and between you and KBW, Inc., a Delaware corporation (the “Company”), dated as of December 31, 2008. All capi
November 5, 2010	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2010 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe
November 5, 2010	EX-10.2	November 1, 2010 Exhibit 10.2 November 1, 2010 Mitchell B. Kleinman KBW, Inc. 787 7th Avenue New York, NY 10019 Re: Notice of Non-Extension of Change of Control Agreement (?Notice?) Dear Mr. Kleinman: Reference is made to the Amended and Restated Change of Control Agreement (the ?Agreement?), entered into by and between you and KBW, Inc., a Delaware corporation (the ?Company?), dated as of December 31, 2008. All c
October 28, 2010	EX-99.1	KBW, Inc. Announces Third Quarter 2010 Results and Quarterly Cash Dividend Exhibit 99.1 PRESS RELEASE FOR IMMEDIATE RELEASE KBW, Inc. Announces Third Quarter 2010 Results and Quarterly Cash Dividend New York, NY ? October 28, 2010 ? KBW, Inc. (NYSE: KBW), a full-service investment bank that specializes in the financial services sector, today announced non-GAAP operating net income of $5.3 million, or $0.15 per diluted share, for the quarter ended September 30, 2010. This
October 28, 2010	8-K	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): October 28, 2010 KBW, INC. (Exact 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): October 28, 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)
August 6, 2010	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2010 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 00
July 29, 2010	8-K	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): July 29, 2010 KBW, INC. (Exact na 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): July 29, 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
July 29, 2010	EX-99.1	KBW, Inc. Announces Second Quarter and First Half 2010 Results and Initiates Quarterly Cash Dividend and Stock Repurchase Program Exhibit 99.1 PRESS RELEASE FOR IMMEDIATE RELEASE KBW, Inc. Announces Second Quarter and First Half 2010 Results and Initiates Quarterly Cash Dividend and Stock Repurchase Program New York, NY ? July 29, 2010 ? KBW, Inc. (NYSE: KBW), a full-service investment bank that specializes in the financial services sector, today announced non-GAAP operating net income of $9.3 million, or $0.26 per diluted s
June 30, 2010	CORRESP	June 30, 2010 June 30, 2010 VIA EDGAR TRANSMISSION AND FEDERAL EXPRESS Daniel L. Gordon Branch Chief Division of Corporation Finance United States Securities and Exchange Commission Mail Stop 4561 100 F Street, N.E. Washington, D.C. 20549 Re: KBW, Inc. Response to SEC Comment Letter dated June 17, 2010 Dear Mr. Gordon: On behalf of KBW, Inc., a Delaware corporation (the “Company”), we are responding to comments
June 15, 2010	8-K	Submission of Matters to a Vote of Security Holders 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): June 14, 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
May 6, 2010	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2010 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0
April 30, 2010	DEFA14A	UNITED STATES UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin
April 30, 2010	DEF 14A	UNITED STATES Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14
April 29, 2010	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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): April 29, 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) (
April 29, 2010	EX-99.1	KBW, Inc. Announces First Quarter 2010 Results Exhibit 99.1 PRESS RELEASE FOR IMMEDIATE RELEASE KBW, Inc. Announces First Quarter 2010 Results New York, NY – April 29, 2010 – KBW, Inc. (NYSE: KBW), a full-service investment bank that specializes in the financial services sector, today announced record quarterly revenues of $133.3 million and non-GAAP operating net income of $13.1 million, or $0.36 per diluted share, for the quarter ended March
February 26, 2010	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2009 Commission file number 001-33138 KBW, I Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2009 Commission file number 001-33138 KBW, Inc. (Exact name of registrant as specified in its charter) Delaware 13-4055775 (State or other jurisdiction of incorporation or orga
February 26, 2010	EX-10.14	RESTRICTED STOCK AGREEMENT Exhibit 10.14 RESTRICTED STOCK AGREEMENT THIS AGREEMENT (this ?Agreement?), between KBW, Inc., a Delaware corporation (the ?Company?), and the employee executing this agreement (the ?Employee?), dated as of the Date of Grant (the ?Grant Date?) in the electronic notice dated February 8, 2010 (the ?February 8 Notice?) attached hereto (which notice insofar as it specifies the Date of Grant, Share Pri
February 26, 2010	EX-10.15	KBW, INC. 2009 INCENTIVE COMPENSATION PLAN LONG-TERM INCENTIVE PROGRAM Exhibit 10.15 KBW, INC. 2009 INCENTIVE COMPENSATION PLAN LONG-TERM INCENTIVE PROGRAM The Committee hereby establishes this KBW, Inc. Long-Term Incentive Program (the ?LTIP?) under the KBW, Inc. 2009 Incentive Compensation Plan (the ?Plan?). The LTIP is intended to allow the Company to make certain Awards under the Plan in furtherance of the purposes of the Plan. Capitalized terms that are not defi
February 26, 2010	EX-21.1	List of Subsidiaries of KBW, Inc. State or Other Jurisdiction of Organization Keefe, Bruyette & Woods, Inc. New York Keefe, Bruyette & Woods Limited United Kingdom Keefe, Bruyette & Woods Asia Limited Hong Kong KBW Asset Management, Inc. Delaware KBW Exhibit 21.1 List of Subsidiaries of KBW, Inc. State or Other Jurisdiction of Organization Keefe, Bruyette & Woods, Inc. New York Keefe, Bruyette & Woods Limited United Kingdom Keefe, Bruyette & Woods Asia Limited Hong Kong KBW Asset Management, Inc. Delaware KBW Ventures, Inc. Delaware
February 26, 2010	EX-10.16	February [?], 2010 Exhibit 10.16 February [?], 2010 [Name] [Address] Dear [Name]: You have been selected by the Compensation Committee of the Board of Directors of KBW, Inc. to receive the LTIP Awards described below pursuant to the Long-Term Incentive Program (the ?LTIP?) established under the KBW, Inc. 2009 Incentive Compensation Plan (the ?Plan?). Capitalized terms used but not defined in this letter agreement ha
February 18, 2010	EX-99.1	KBW, Inc. Announces 2009 Fourth Quarter and Full-Year Results Exhibit 99.1 PRESS RELEASE FOR IMMEDIATE RELEASE KBW, Inc. Announces 2009 Fourth Quarter and Full-Year Results New York, NY – February 18, 2010 – KBW, Inc. (NYSE: KBW), a full-service investment bank that specializes in the financial services sector, today announced non-GAAP operating net income of $5.3 million, or $0.15 per diluted share, for the quarter ended December 31, 2009. This compares to
February 18, 2010	8-K	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): February 18, 2010 KBW, INC. (Exac 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): February 18, 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
February 10, 2010	EX-10.1	RESTRICTED STOCK AGREEMENT Exhibit 10.1 RESTRICTED STOCK AGREEMENT THIS AGREEMENT (this ?Agreement?), between KBW, Inc., a Delaware corporation (the ?Company?), and [EMPLOYEE NAME] (the ?Employee?), dated February 5, 2010 (the ?Grant Date?). W I T N E S S E T H In consideration of the mutual promises and covenants made herein and the mu?tual benefits to be derived herefrom, the parties hereto agree as follows: 1. Grant, Ves
February 10, 2010	8-K/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A 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 9, 2010 (February 1, 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A 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 9, 2010 (February 1, 2010) KBW, INC. (Exact name of registrant as specified in its charter) Delaware 001-33138 13-4055775 (State or other jurisdiction of incorporation) (Co
February 10, 2010	EX-10.4	EMPLOYMENT AGREEMENT Exhibit 10.4 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) by and between KBW, Inc. (the “Company”) and Andrew M. Senchak (the “Executive”), dated as of February 1, 2010. WHEREAS, the Company is desirous of continuing to employ the Executive in an executive capacity on the terms and conditions, and for the consideration, hereinafter set forth, and the Executive is desirous of b
February 10, 2010	EX-10.2	EMPLOYMENT AGREEMENT Exhibit 10.2 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) by and between KBW, Inc. (the “Company”) and John G. Duffy (the “Executive”), dated as of February 1, 2010. WHEREAS, the Company is desirous of continuing to employ the Executive in an executive capacity on the terms and conditions, and for the consideration, hereinafter set forth, and the Executive is desirous of being
February 10, 2010	EX-10.3	EMPLOYMENT AGREEMENT Exhibit 10.3 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) by and between KBW, Inc. (the “Company”) and Thomas B. Michaud (the “Executive”), dated as of February 1, 2010. WHEREAS, the Company is desirous of continuing to employ the Executive in an executive capacity on the terms and conditions, and for the consideration, hereinafter set forth, and the Executive is desirous of b
February 5, 2010	EX-10.4	EMPLOYMENT AGREEMENT Exhibit 10.4 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) by and between KBW, Inc. (the “Company”) and Andrew M. Senchak (the “Executive”), dated as of February 1, 2010. WHEREAS, the Company is desirous of continuing to employ the Executive in an executive capacity on the terms and conditions, and for the consideration, hereinafter set forth, and the Executive is desirous of b
February 5, 2010	EX-10.2	EMPLOYMENT AGREEMENT Exhibit 10.2 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) by and between KBW, Inc. (the “Company”) and John G. Duffy (the “Executive”), dated as of February 1, 2010. WHEREAS, the Company is desirous of continuing to employ the Executive in an executive capacity on the terms and conditions, and for the consideration, hereinafter set forth, and the Executive is desirous of being
February 5, 2010	8-K	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): February 5, 2010 KBW, INC. (Exact 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): February 5, 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)
February 5, 2010	EX-10.3	EMPLOYMENT AGREEMENT Exhibit 10.3 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) by and between KBW, Inc. (the “Company”) and Thomas B. Michaud (the “Executive”), dated as of February 1, 2010. WHEREAS, the Company is desirous of continuing to employ the Executive in an executive capacity on the terms and conditions, and for the consideration, hereinafter set forth, and the Executive is desirous of b
February 5, 2010	EX-10.1	RESTRICTED STOCK AGREEMENT Exhibit 10.1 RESTRICTED STOCK AGREEMENT THIS AGREEMENT (this “Agreement”), between KBW, Inc., a Delaware corporation (the “Company”), and [EMPLOYEE NAME] (the “Employee”), dated February 5, 2010 (the “Grant Date”). W I T N E S S E T H In consideration of the mutual promises and covenants made herein and the mutual benefits to be derived herefrom, the parties hereto agree as follows: 1. Grant, Vest
November 6, 2009	EX-10.2	November 4, 2009 EXHIBIT 10.2 November 4, 2009 Mr. Thomas B. Michaud c/o KBW, Inc. 787 Seventh Avenue New York, NY 10019 Dear Tom: Reference is hereby made to the Amended and Restated Employment Agreement by and between KBW, Inc. and you, dated as December 31, 2008 (the ?Employment Agreement?). This letter confirms the agreement between KBW, Inc. and you to amend the Employment Agreement to extend the Employment P
November 6, 2009	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q e10vq Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
November 6, 2009	EX-10.3	November 4, 2009 EXHIBIT 10.3 November 4, 2009 Mr. Andrew M. Senchak c/o KBW, Inc. 787 Seventh Avenue New York, NY 10019 Dear Andrew: Reference is hereby made to the Amended and Restated Employment Agreement by and between KBW, Inc. and you, dated as December 31, 2008 (the ?Employment Agreement?). This letter confirms the agreement between KBW, Inc. and you to amend the Employment Agreement to extend the Employmen
November 6, 2009	EX-10.1	November 4, 2009 EXHIBIT 10.1 November 4, 2009 Mr. John G. Duffy c/o KBW, Inc. 787 Seventh Avenue New York, NY 10019 Dear John: Reference is hereby made to the Amended and Restated Employment Agreement by and between KBW, Inc. and you, dated as December 31, 2008 (the ?Employment Agreement?). This letter confirms the agreement between KBW, Inc. and you to amend the Employment Agreement to extend the Employment Peri
October 29, 2009	8-K	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): October 29, 2009 KBW, INC. (Exact 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): October 29, 2009 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)
October 29, 2009	EX-99.1	KBW, Inc. Announces Record Third Quarter 2009 Revenues And 2010 Asia Expansion Exhibit 99.1 PRESS RELEASE FOR IMMEDIATE RELEASE KBW, Inc. Announces Record Third Quarter 2009 Revenues And 2010 Asia Expansion New York, NY – October 29, 2009 – KBW, Inc. (NYSE: KBW), a full-service investment bank that specializes in the financial services sector, today announced record quarterly revenues of $122.6 million and a non-GAAP operating net income of $13.4 million, or $0.37 per dilute
August 7, 2009	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q e10vq Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
July 30, 2009	8-K	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): July 30, 2009 KBW, INC. (Exact na 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): July 30, 2009 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
July 30, 2009	EX-99.1	KBW, Inc. Announces Second Quarter and First Half 2009 Financial Results EXHIBIT 99.1 PRESS RELEASE FOR IMMEDIATE RELEASE KBW, Inc. Announces Second Quarter and First Half 2009 Financial Results New York, NY – July 30, 2009 – KBW, Inc. (NYSE: KBW), a full-service investment bank that specializes in the financial services sector, today announced a non-GAAP operating net income of $8.8 million, or $0.26 per diluted share, for the quarter ended June 30, 2009. This compare
June 11, 2009	S-8	As filed with the Securities and Exchange Commission on June 11, 2009 As filed with the Securities and Exchange Commission on June 11, 2009 Registration No.
June 11, 2009	S-8 POS	As filed with the Securities and Exchange Commission on June 11, 2009 As filed with the Securities and Exchange Commission on June 11, 2009 Registration No.
June 10, 2009	8-K	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): June 9, 2009 KBW, INC. (Exact nam 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): June 9, 2009 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.
June 10, 2009	EX-10.1	KBW, INC. 2009 INCENTIVE COMPENSATION PLAN Exhibit 10.1 KBW, INC. 2009 INCENTIVE COMPENSATION PLAN KBW, Inc., a Delaware corporation (the ?Company?), has adopted the KBW, Inc. 2009 Incentive Compensation Plan (the ?Plan?) for the benefit of non-employee directors of the Company, officers and eligible employees and consultants of the Company and any Subsidiaries and Affiliates (as each term defined below) as follows: ARTICLE I. ESTABLISHMEN
May 7, 2009	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
April 27, 2009	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2))
April 27, 2009	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
April 23, 2009	8-K	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): April 23, 2009 KBW, INC. (Exact n 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): April 23, 2009 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) (
April 23, 2009	EX-99.1	KBW, Inc. Announces First Quarter 2009 Financial Results Exhibit 99.1 PRESS RELEASE FOR IMMEDIATE RELEASE KBW, Inc. Announces First Quarter 2009 Financial Results New York, NY ? April 23, 2009 ? KBW, Inc. (NYSE: KBW), a full-service investment bank that specializes in the financial services sector, today announced a non-GAAP operating net income of $1.6 million, or $0.05 per diluted share, for the quarter ended March 31, 2009. This compares to a non-GAA
February 27, 2009	EX-10.15	AMENDED AND RESTATED EMPLOYMENT AGREEMENT EX-10.15 Exhibit 10.15 This exhibit amends and restates the agreement between KBW, Inc. and the executive that was included as an exhibit to KBW Inc.’s previously filed periodic reports with the Securities and Exchange Commission. The agreement was amended and restated as set forth below in order to comply with certain technical requirements of Section 409A of the Internal Revenue Code. AMENDED AN
February 27, 2009	EX-10.14	AMENDED AND RESTATED EMPLOYMENT AGREEMENT Exhibit 10.14 This exhibit amends and restates the agreement between KBW, Inc. and the executive that was included as an exhibit to KBW Inc.?s previously filed periodic reports with the Securities and Exchange Commission. The agreement was amended and restated as set forth below in order to comply with certain technical requirements of Section 409A of the Internal Revenue Code. AMENDED AND RESTATE
February 27, 2009	EX-10.17	AMENDED AND RESTATED CHANGE OF CONTROL AGREEMENT EX-10.17 Exhibit 10.17 This exhibit amends and restates the agreement between KBW, Inc. and the executive that was included as an exhibit to KBW Inc.’s previously filed periodic reports with the Securities and Exchange Commission. The agreement was amended and restated as set forth below in order to comply with certain technical requirements of Section 409A of the Internal Revenue Code. AMENDED AN
February 27, 2009	EX-21.1	State or other Jurisdiction of Organization Keefe, Bruyette & Woods, Inc. New York Keefe, Bruyette & Woods Limited United Kingdom KBW Asset Management, Inc. Delaware KBW Ventures Inc. Delaware FIG Acquisition Corp. Delaware Exhibit 21.1 State or other Jurisdiction of Organization Keefe, Bruyette & Woods, Inc. New York Keefe, Bruyette & Woods Limited United Kingdom KBW Asset Management, Inc. Delaware KBW Ventures Inc. Delaware FIG Acquisition Corp. Delaware
February 27, 2009	EX-10.18	AMENDED AND RESTATED CHANGE OF CONTROL AGREEMENT EX-10.18 Exhibit 10.18 This exhibit amends and restates the agreement between KBW, Inc. and the executive that was included as an exhibit to KBW Inc.’s previously filed periodic reports with the Securities and Exchange Commission. The agreement was amended and restated as set forth below in order to comply with certain technical requirements of Section 409A of the Internal Revenue Code. AMENDED AN
February 27, 2009	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2008 Commission file number 001-33138 KBW, I Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2008 Commission file number 001-33138 KBW, Inc. (Exact name of registrant as specified in its charter) Delaware 13-4055775 (State or other jurisdiction of incorporation or orga
February 27, 2009	EX-10.16	AMENDED AND RESTATED EMPLOYMENT AGREEMENT EX-10.16 Exhibit 10.16 This exhibit amends and restates the agreement between KBW, Inc. and the executive that was included as an exhibit to KBW Inc.’s previously filed periodic reports with the Securities and Exchange Commission. The agreement was amended and restated as set forth below in order to comply with certain technical requirements of Section 409A of the Internal Revenue Code. AMENDED AN
February 27, 2009	EX-10.13	RESTRICTED STOCK AGREEMENT EX-10.13 Exhibit 10.13 RESTRICTED STOCK AGREEMENT THIS AGREEMENT, between KBW, Inc., a Delaware corporation (the “Corporation”), and the employee (the “Employee”) executing this agreement (the “Agreement”), dated as of the Date of Grant (the “Grant Date”) in the electronic notice dated February 9, 2009 (the “February 9 Notice”) attached hereto (which notice insofar as it specifies Date of Grant, S
February 11, 2009	EX-99.1	KBW, Inc. Announces 2008 Fourth Quarter and Full-Year Results Exhibit 99.1 PRESS RELEASE FOR IMMEDIATE RELEASE KBW, Inc. Announces 2008 Fourth Quarter and Full-Year Results New York, NY – February 11, 2009 – KBW, Inc. (NYSE: KBW), a full-service investment bank that specializes in the financial services sector, today announced a non-GAAP operating net loss of $20.2 million, or $0.65 per diluted share, and $55.3 million, or $1.79 per diluted share, for the qu
February 11, 2009	8-K	Results of Operations and Financial Condition, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits 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): February 6, 2009 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)
November 5, 2008	424B7	Filed pursuant to Rule 424(b)(7) Registration No. 333-153355 CALCULATION OF REGISTRATION FEE Filed pursuant to Rule 424(b)(7) Registration No. 333-153355 CALCULATION OF REGISTRATION FEE Title of Each Class of Securities to be Registered Amount to be Registered Proposed Maximum Offering Price Per Share Proposed Maximum Aggregate Offering Price (1) Amount of Registration Fee (2) Common Stock, $.01 par value per share 3,480,580 $27.04 $94,114,883.20 $3,698.72 (1) Estimated solely for the pur
November 5, 2008	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
October 22, 2008	EX-3.2	SECOND AMENDED AND RESTATED BY-LAWS KBW, INC. INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE Exhibit 3.2 SECOND AMENDED AND RESTATED BY-LAWS OF KBW, INC. INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE These Amended and Restated Bylaws (the “Bylaws”) of KBW, Inc., a Delaware corporation (the “Corporation”), are effective as of October [17], 2008 (the “Effective Time”), and hereby amend and restate the previous bylaws of the Corporation which are hereby deleted in their entirety and r
October 22, 2008	EX-9.1	KBW, Inc. Announces 2008 Third Quarter Results Exhibit 99.1 PRESS RELEASE FOR IMMEDIATE RELEASE KBW, Inc. Announces 2008 Third Quarter Results New York, NY ? October 22, 2008 ? KBW, Inc. (NYSE: KBW), a full-service investment bank that specializes in the financial services sector, today announced a non-GAAP operating net loss of $21.3 million, or $0.69 per diluted share, and $35.1 million, or $1.14 per diluted share, for the quarter and nine m
October 22, 2008	8-K	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) October 17, 2008 KBW, Inc. (Exact name of regist 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) October 17, 2008 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) (IRS Employer
September 5, 2008	S-3ASR	As filed with the Securities and Exchange Commission on September 5, 2008 As filed with the Securities and Exchange Commission on September 5, 2008 Registration No.
September 5, 2008	EX-12.1	KBW, INC. AND SUBSIDIARIES Exhibit 12.1 KBW, INC. AND SUBSIDIARIES COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES (Dollars in thousands) December 31, Six Months Ended June 30, 2008 2007 2006 2005 2004 2003 Fixed charges: Interest expense $ 3,244 $ 14,732 $ 11,023 $ 8,105 $ 872 $ 874 Rental expense deemed to be interest 1,972 3,746 3,837 3,745 3,503 2,444 Total fixed charges $ 5,216 $ 18,478 $ 14,860 $ 11,850 $ 4,375 $ 3,
September 5, 2008	EX-4.1	KBW, INC. [•], Trustee Senior Indenture Dated as of [•] CROSS REFERENCE SHEET(1) Exhibit 4.1 KBW, INC. AND [•], Trustee Senior Indenture Dated as of [•] CROSS REFERENCE SHEET(1) Provisions of Trust Indenture Act of 1939 and Indenture to be dated as of [•], between KBW, INC. and [•], Trustee: Section of the Act Section of Indenture 310(a)(1) and (2) 6.09 310(a)(3) and (4) Inapplicable 310(b) 6.08 and 6.10(a), (b) and (d) 310(c) Inapplicable 311(a) Inapplicable 311(b) Inapplicab
September 5, 2008	EX-4.2	KBW, INC. [•], Trustee Subordinated Indenture Dated as of [•] Exhibit 4.2 KBW, INC. AND [•], Trustee Subordinated Indenture Dated as of [•] CROSS REFERENCE SHEET - Between Provisions of Trust Indenture Act of 1939 and Subordinated Indenture to be dated as of [•] between KBW, INC. and [•], Trustee. Section of the Act Section of the Indenture 310(a)(1) and (2) 6.09 310(a)(3) and (4) Inapplicable 310(b) 6.08 and 6.10(a), (b) and (d) 310(c) Inapplicable 311(a) [
August 8, 2008	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2008 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 00
August 6, 2008	CORRESP	* * * * August 6, 2008 VIA EDGAR TRANSMISSION , FAX AND FEDERAL EXPRESS Daniel L. Gordon Branch Chief Division of Corporation Finance United States Securities and Exchange Commission Mail Stop 4561 100 F Street, N.E. Washington, D.C. 20549 Re: KBW, Inc. Response to SEC Additional Comment Letter dated July 22, 2008 Dear Mr. Gordon: On behalf of KBW, Inc., a Delaware corporation (the “Company”), we are resp
July 24, 2008	EX-99.01	KBW, Inc. Announces Second Quarter and First Half 2008 Financial Results PRESS RELEASE FOR IMMEDIATE RELEASE KBW, Inc. Announces Second Quarter and First Half 2008 Financial Results New York, NY – July 24, 2008 – KBW, Inc. (NYSE: KBW), a full-service investment bank that specializes in the financial services sector, today announced an operating net loss of $7.8 million, or $0.25 per diluted share, and $13.8 million, or $0.45 per diluted share, for the quarter and six m
July 24, 2008	8-K	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): July 24, 2008 KBW, Inc. (Exact name of registra 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): July 24, 2008 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) (IRS Employer Id
July 14, 2008	CORRESP	June 27, 2008 June 27, 2008 VIA FAX AND FEDERAL EXPRESS Daniel L. Gordon Branch Chief Division of Corporation Finance United States Securities and Exchange Commission Mail Stop 4561 100 F Street, N.E. Washington, D.C. 20549 Re: KBW, Inc. Response to SEC Comment Letter dated June 16, 2008 Dear Mr. Gordon: On behalf of KBW, Inc., a Delaware corporation (the “Company”), we are responding to comments raised by the
June 9, 2008	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits 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): June 3, 2008 KBW, INC. (Exact name of registrant as specified in its charter) Delaware 001-33138 13-4055775 (State or other jurisdiction (Commission (I.R.S. Employer of incorporation)
June 9, 2008	EX-10.1	KBW, INC. 2008 EMPLOYEE STOCK PURCHASE PLAN SECTION 1 Exhibit 10.1 KBW, INC. 2008 EMPLOYEE STOCK PURCHASE PLAN SECTION 1 PURPOSE The purpose of the KBW, Inc. Employee Stock Purchase Plan (the "Plan") is to encourage and facilitate stock ownership by Employees by providing an opportunity to purchase Common Stock through voluntary after-tax payroll deductions. The Plan is intended to be a qualified employee stock purchase plan under Section 423 of the
May 7, 2008	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
April 24, 2008	8-K	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): April 24, 2008 KBW, Inc. (Exact name of registr 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): April 24, 2008 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) (IRS Employer I
April 24, 2008	EX-99.1	KBW, Inc. Announces First Quarter 2008 Financial Results PRESS RELEASE FOR IMMEDIATE RELEASE KBW, Inc. Announces First Quarter 2008 Financial Results New York, NY – April 24, 2008 – KBW, Inc. (NYSE: KBW), a full-service investment bank that specializes in the financial services sector, today announced an operating net loss of $6.0 million, or $0.20 per diluted share for the quarter ended March 31, 2008. This compares to operating net income of $9.5 mill
April 21, 2008	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registran UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin
April 21, 2008	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registran Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14
February 28, 2008	EX-10.15	CHANGE IN CONTROL AGREEMENT EX-10.15: Exhibit 10.15 CHANGE IN CONTROL AGREEMENT AGREEMENT, dated as of the first day of February, 2008 (this “Agreement”), by and between KBW, Inc., a Delaware corporation (the “Company”), and Robert Giambrone, Executive Vice President and Chief Financial and Administrative Officer (the “Executive”). WHEREAS, the Board of Directors of the Company (the “Board”), has determined that it is in the
February 28, 2008	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2007 Commission file number 001-33138 KBW, I Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2007 Commission file number 001-33138 KBW, Inc. (Exact name of registrant as specified in its charter) Delaware 13-4055775 (State or other jurisdiction of incorporation or orga
February 28, 2008	EX-10.16	CHANGE IN CONTROL AGREEMENT EX-10.16 Exhibit 10.16 CHANGE IN CONTROL AGREEMENT AGREEMENT, dated as of the first day of February, 2008 (this “Agreement”), by and between KBW, Inc., a Delaware corporation (the “Company”), and Mitchell B. Kleinman, Executive Vice President and General Counsel (the “Executive”). WHEREAS, the Board of Directors of the Company (the “Board”), has determined that it is in the best interests of the C
February 28, 2008	EX-10.10	RESTRICTED STOCK AGREEMENT EX-10.10 Exhibit 10.10 RESTRICTED STOCK AGREEMENT THIS AGREEMENT, between KBW, Inc., a Delaware corporation (the “Corporation”), and the employee (the “Employee”) executing this agreement (the “Agreement”), dated as of the Date of Grant (the “Grant Date”) in the letter dated February 5, 2008 (the “February 5 Notification Letter”) attached hereto (which letter insofar as it specifies Date of Grant
February 6, 2008	8-K	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): February 1, 2008 KBW, INC. (Exact 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): February 1, 2008 KBW, INC. (Exact name of registrant as specified in its charter) Delaware 001-33138 13-4055775 (State or other jurisdiction (Commission (I.R.S. Employer of incorporat
November 13, 2007	EX-3.1	SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF KBW, INC. INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE EX-3.1 Exhibit 3.1 SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF KBW, INC. INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE KBW, Inc., a corporation organized and existing under the laws and by virtue of the General Corporation Law of the State of Delaware (the “Corporation”), DOES HEREBY CERTIFY: 1. The name of the Corporation is KBW, INC. 2. The date of filing of the original C
November 13, 2007	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2007 OR o TRANSITION R 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
November 1, 2007	EX-99.1	KBW, INC. ANNOUNCES 2007 THIRD QUARTER RESULTS EXHIBIT 99.1 PRESS RELEASE FOR IMMEDIATE RELEASE KBW, INC. ANNOUNCES 2007 THIRD QUARTER RESULTS New York, NY – November 1, 2007 – KBW, Inc. (NYSE: KBW), a full-service investment bank that specializes in the financial services sector, today announced financial results for the quarter and nine months ended September 30, 2007. Highlights for the quarter ended September 30, 2007 include: · After adju
November 1, 2007	8-K	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) November 1, 2007 KBW, Inc. (Exact name of regist 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) November 1, 2007 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) (IRS Employer
October 29, 2007	EX-99	KBW, Inc. Names Michael J. Zimmerman to Board of Directors PRESS RELEASE EXHIBIT 99 FOR IMMEDIATE RELEASE Media Contact: Neil Shapiro, Intermarket Communications, 212-754-5423 KBW, Inc.
October 29, 2007	8-K	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): October 29, 2007 KBW, Inc. (Exact name of regis 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): October 29, 2007 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) (IRS Employer
September 7, 2007	EX-10.1	SUBLEASE NATIONAL FINANCIAL PARTNERS CORP., KEEFE, BRUYETTE & WOODS, INC., Entire 11th Floor 787 Seventh Avenue New York, New York 10019 DATED: August 31, 2007 Exhibit 10.1 SUBLEASE between NATIONAL FINANCIAL PARTNERS CORP., Sublessor and KEEFE, BRUYETTE & WOODS, INC., Subtenant SUBLEASED PREMISES: Entire 11th Floor 787 Seventh Avenue New York, New York 10019 DATED: August 31, 2007 SUBLEASE THIS SUBLEASE, dated as of this 31st day of August, 2007, between NATIONAL FINANCIAL PARTNERS CORP., a Delaware corporation (“Sublessor”), having an office at 787 Sev
September 7, 2007	8-K	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) September 7, 2007 KBW, Inc. (Exact name of regis 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) September 7, 2007 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) (IRS Employer
August 13, 2007	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
August 9, 2007	8-K	Results of Operations and Financial Condition, Financial Statements and Exhibits 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) August 9, 2007 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) (IRS Employer Id
August 9, 2007	EX-99.1	KBW, Inc. Announces 2007 Second Quarter and First Half Financial Results EXHIBIT 99.1 PRESS RELEASE FOR IMMEDIATE RELEASE KBW, Inc. Announces 2007 Second Quarter and First Half Financial Results New York, NY – August 9, 2007 – KBW, Inc. (NYSE: KBW), a full-service investment bank that specializes in the financial services sector, today announced financial results for the quarter and six months ended June 30, 2007. Highlights for the quarter ended June 30, 2007 include:
May 11, 2007	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
April 27, 2007	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) NOTICE OF ANNUAL MEETING Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
April 26, 2007	EX-99.1	KBW, Inc. Announces First Quarter 2007 Financial Results EXHIBIT 99.1 PRESS RELEASE FOR IMMEDIATE RELEASE KBW, Inc. Announces First Quarter 2007 Financial Results New York, NY – April 26, 2007 – KBW, Inc. (NYSE: KBW), a full-service investment bank that specializes in the financial services sector, today announced financial results for the quarter ended March 31, 2007. Highlights for the first quarter include: · After adjusting for 2006 IPO restricted s
April 26, 2007	8-K	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)April 26, 2007 KBW, Inc. (Exact name of registran 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)April 26, 2007 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) (IRS Employer Ide
April 24, 2007	S-8	As filed with the Securities and Exchange Commission on April 24, 2007 Registration No. 333-_________ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT THE SECURITIES ACT OF 1933 KBW, INC. (Exact As filed with the Securities and Exchange Commission on April 24, 2007 Registration No.
April 2, 2007	EX-10.9	RESTRICTED STOCK AGREEMENT EX-10.9 Exhibit 10.9 RESTRICTED STOCK AGREEMENT THIS AGREEMENT, between KBW, Inc., a Delaware corporation (the “Corporation”), and the employee (the “Employee”) executing this agreement (the “Agreement”)(the “Employee”) dated as of the Date of Grant (the “Grant Date”) in the letter dated March 1, 2007 (the “March 1 Notification Letter”) attached hereto (which letter insofar as it specifies Date of
April 2, 2007	EX-10.8	RESTRICTED STOCK AGREEMENT EX-10.8 Exhibit 10.8 RESTRICTED STOCK AGREEMENT THIS AGREEMENT, dated as of the 8th day of November, 2006, between KBW, Inc., a Delaware corporation (the “Corporation”), and the employee who is confirming agreement with these terms through the facility of the Employee Account Records web site, as defined below (the “Employee”). W I T N E S S E T H In consideration of the mutual promises and covena
April 2, 2007	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2006 Commission file number 001-33138 KBW, I FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
February 20, 2007	EX-99.1	KBW, Inc. Announces Record Fourth Quarter And Full Year 2006 Financial Results KBW, Inc. FOR IMMEDIATE RELEASE Investor Contact: Alan Oshiki KBW Investor Relations (866) 529-2339 Media Contact: Neil Shapiro Intermarket Communications (212) 754-5423 KBW, Inc. Announces Record Fourth Quarter And Full Year 2006 Financial Results New York, NY - February 20, 2007 - KBW, Inc. (NYSE: KBW), a full-service investment bank that specializes in the financial services sector, today annou
February 20, 2007	8-K	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): February 20, 2007 KBW, Inc. (Exact name of regi 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): February 20, 2007 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) (IRS Employe
February 8, 2007	8-K	UNITED STATES 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): February 8, 2007 KBW, INC. (Exact name of registrant as specified in its charter) Delaware 001-33138 13-4055775 (State or other jurisdiction (Commission (I.R.S. Employer of incorporat
December 18, 2006	EX-10.3	1. Employment Period. The Company hereby agrees to continue to employ the Executive, and the Executive hereby agrees to continue to serve the Company, subject to the terms and conditions of this Agreement, for the period commencing on the Effective D Exhibit 10.3 EMPLOYMENT AGREEMENT AGREEMENT by and between KBW, Inc. (the “Company”) and Andrew M. Senchak (the “Executive”), dated as of the 1st of November, 2006. WHEREAS, the Company is desirous of continuing to employ the Executive in an executive capacity on the terms and conditions, and for the consideration, hereinafter set forth, and the Executive is desirous of being employed by the Compa
December 18, 2006	EX-10.1	1. Employment Period. The Company hereby agrees to continue to employ the Executive, and the Executive hereby agrees to continue to serve the Company, subject to the terms and conditions of this Agreement, for the period commencing on the Effective D Exhibit 10.1 EMPLOYMENT AGREEMENT AGREEMENT by and between KBW, Inc. (the “Company”) and John G. Duffy (the “Executive”), dated as of the 1st of November, 2006. WHEREAS, the Company is desirous of continuing to employ the Executive in an executive capacity on the terms and conditions, and for the consideration, hereinafter set forth, and the Executive is desirous of being employed by the Company o
December 18, 2006	EX-10.2	1. Employment Period. The Company hereby agrees to continue to employ the Executive, and the Executive hereby agrees to continue to serve the Company, subject to the terms and conditions of this Agreement, for the period commencing on the Effective D Exhibit 10.2 EMPLOYMENT AGREEMENT AGREEMENT by and between KBW, Inc. (the “Company”) and Thomas B. Michaud (the “Executive”), dated as of the 1st of November, 2006. WHEREAS, the Company is desirous of continuing to employ the Executive in an executive capacity on the terms and conditions, and for the consideration, hereinafter set forth, and the Executive is desirous of being employed by the Compa
December 18, 2006	EX-3.1	ARTICLE I ARTICLE II ARTICLE III ARTICLE IV ARTICLE V ARTICLE VI ARTICLE VII ARTICLE VIII ARTICLE IX ARTICLE X Exhibit 3.1 SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF KBW, INC. INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE KBW, Inc., a corporation organized and existing under the laws and by virtue of the General Corporation Law of the State of Delaware (the “Corporation”), DOES HEREBY CERTIFY: 1. The name of the Corporation is KBW, INC. 2. The date of filing of the original Certific
December 18, 2006	EX-10.5	Section 1. Purposes. The purposes of the KBW, Inc. Annual Incentive Plan (the “Plan”) are to attract, retain and motivate selected employees of KBW, Inc. (“KBW”) and its subsidiaries and affiliates (together with KBW, and their and its successors, th Exhibit 10.5 KBW, Inc. Annual Incentive Plan Section 1. Purposes. The purposes of the KBW, Inc. Annual Incentive Plan (the “Plan”) are to attract, retain and motivate selected employees of KBW, Inc. (“KBW”) and its subsidiaries and affiliates (together with KBW, and their and its successors, the “Firm”) in order to promote the Firm’s long-term growth and profitability. Section 2. Administration. (
December 18, 2006	10-Q	PART I. FINANCIAL INFORMATION PART II—OTHER INFORMATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2006 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-33138 KBW,
December 18, 2006	EX-10.4	SECTION 1. Purpose; Definitions SECTION 2. Administration SECTION 3. Common Stock Subject to Plan SECTION 4. Eligibility SECTION 5. Options and Stock Appreciation Rights SECTION 6. Restricted Stock SECTION 7. Stock Units SECTION 8. Other Equit Exhibit 10.4 KBW, INC. 2006 INCENTIVE PLAN SECTION 1. Purpose; Definitions The purpose of this KBW, Inc. 2006 Equity Incentive Plan (the “Plan”) is to give the Company a competitive advantage in attracting, retaining and motivating officers, employees, directors, advisors and/or consultants and to provide the Company and its Subsidiaries and Affiliates with a stock plan providing incentives direct

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