Post-effective Amendment to an S-8 Filing (s-8 Pos)
2013年2月20日 - 6:21AM
Edgar (US Regulatory)
As filed with the Securities and Exchange Commission on February 19, 2013
Registration No. 333-182295
Registration No. 333-159916
Registration No. 333-142327
Registration No. 333-151864
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Post-Effective Amendment No. 1 to Form S-8 Registration Statement No. 333-182295
Post-Effective Amendment No. 1 to Form S-8 Registration Statement No. 333-159916
Post-Effective Amendment No. 2 to Form S-8 Registration Statement No. 333-142327
Post-Effective Amendment No. 1 to Form S-8 Registration Statement No. 333-151864
KBW LLC
(f/k/a/ KBW, Inc.)
(Exact name of registrant as specified in its charter)
|
|
|
Delaware
|
|
13-4055775
|
(State or other jurisdiction of incorporation or organization)
|
|
(I.R.S. Employer Identification No.)
|
787 Seventh Avenue
New York, New York 10019
(Address, including zip code, of Principal
Executive Offices)
KBW, Inc. 2009 Incentive Compensation Plan
KBW, Inc. 2006 Equity Incentive Plan
KBW, Inc. 2008 Employee Stock Purchase Plan
(Full Title of Plan)
|
|
|
James M. Zemlyak
Senior Vice President, Chief Financial Officer and Treasurer
Stifel
Financial Corp.
501 North Broadway
St. Louis, MO 63102
(314) 342-2000
Fax: (314) 342-2097
(Name, address, including zip code, and telephone number, including area code, of agent for service)
|
|
Copies to:
Robert J. Endicott, Esq.
Todd M. Kaye, Esq.
Bryan Cave LLP
211 North Broadway, Suite 3600
St. Louis, MO 63102
(314) 259-2000
Fax: (314) 259-2020
|
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller
reporting company. See the definitions of large accelerated filer, accelerated filer and smaller reporting company in Rule 12b-2 of the Exchange Act (Check one):
|
|
|
Large accelerated filer
x
|
|
Accelerated filer
¨
|
|
|
Non-accelerated filer
¨
|
|
Smaller reporting company
¨
|
Deregistration of Securities
This Post-Effective Amendment (this Amendment) relates to each of the following Registration Statements of KBW, Inc., a Delaware corporation (now known as KBW LLC, a Delaware limited liability
company) (the Registrant) on Form S-8 (collectively, the Registration Statements):
|
|
|
Registration Statement No. 333-182295, filed with the Securities and Exchange Commission (the Commission) on June 22, 2012,
registering the offer and sale of 3,000,000 shares of Registrants Common Stock, par value $0.01 per share (the Common Stock), issuable pursuant to the KBW, Inc. 2009 Incentive Compensation Plan, as amended (the 2009
Plan).
|
|
|
|
Registration Statement No. 333-159916, filed with the Commission on June 11, 2009, registering the offer and sale of (i) 6,000,000
shares of Common Stock issuable pursuant to the 2009 Plan, (ii) 641,638 shares of Common Stock, which were previously registered, issuable pursuant to the KBW, Inc. 2006 Equity Incentive Plan (the 2006 Plan), Registration Statement
No. 333-142327, filed with the Commission on April 24, 2007, and (iii) an indeterminate number of shares of Common Stock, not to exceed 4,706,401 shares, which remain subject to outstanding awards under the 2006 Plan as of
April 13, 2009 and may be delivered pursuant to awards under the 2009 Plan, to the extent that on or after such date any such awards under the 2006 Plan are forfeited or settled or terminate without a distribution of shares or shares of Common
Stock are used to pay required tax withholding for any such award under the 2006 Plan.
|
|
|
|
Registration Statement No. 333-142327, filed with the Commission on April 24, 2007 and amended on June 11, 2009, registering the
(i) offer and sale of 3,265,439 shares of Common Stock issuable pursuant to the 2006 Plan and (ii) the resale of 12,400 shares of Common Stock previously issued under the 2006 Plan.
|
|
|
|
Registration Statement No. 333-151864, filed with the Commission on June 24, 2008, registering the offer and sale of 1,500,000 shares of
Common Stock issuable pursuant to the KBW, Inc. 2008 Employee Stock Purchase Plan.
|
This Amendment is being filed to
deregister any and all unsold securities registered pursuant to, and to terminate the effectiveness of, each of the Registration Statements. On February 15, 2013, pursuant to an Agreement and Plan of Merger, dated as of November 5, 2012,
by and among the Registrant, Stifel Financial Corp. (Stifel), SFKBW One, Inc., a Delaware corporation and Stifels direct, wholly owned subsidiary (Merger Subsidiary), and SFKBW Two, LLC, a Delaware limited liability
company and Stifels direct, wholly owned subsidiary, which is disregarded from Stifel (Successor Subsidiary), Merger Subsidiary merged with and into the Registrant and the Registrant merged with and into Successor Subsidiary, with
Successor Subsidiary continuing as Stifels direct wholly owned subsidiary (the Merger).
As a result of the Merger, the
offerings pursuant to the Registration Statements have been terminated. In accordance with undertakings made by the Registrant in the Registration Statements to remove from registration, by means of a post-effective amendment, any and all of the
securities which remain unsold at the termination of the offering, the Registrant hereby amends the Registration Statements by deregistering shares of Common Stock registered under the Registration Statements in the amounts as set forth above.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly
caused these Post-Effective Amendments to the Registration Statements to be signed on its behalf by the undersigned, thereunto duly authorized, in New York, State of New York, February 19, 2013.
|
|
|
KBW LLC
(f/k/a KBW, Inc.)
|
|
|
By:
|
|
/s/ James M. Zemlyak
|
|
|
James M. Zemlyak
President
|
Kbw (NYSE:KBW)
過去 株価チャート
から 5 2024 まで 6 2024
Kbw (NYSE:KBW)
過去 株価チャート
から 6 2023 まで 6 2024