This excerpt taken from the KBW DEF 14A filed Apr 27, 2007.
SECTION 16(a) BENEFICIAL OWNERSHIP REPORTING COMPLIANCE
The Companys executive officers, directors and 10% stockholders are required under the Exchange Act to file reports of ownership and changes in ownership with the SEC and the NYSE. Copies of these reports must also be furnished to the Company.
Based solely on our review of the copies of such forms received by us with respect to 2006, we believe all of our directors and executive officers met all applicable filing requirements, except that Daniel M. Healy, a member of the Board, inadvertently filed a late Form 4 in March 2007 reporting his November 2006 IPO restricted stock awards because of an administrative oversight on the part of the Company.