| 8/16/2013 | DD | Penson Worldwide says plan of liquidation became effective Aug. 15
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| 8/6/2013 | DD | Penson Worldwide granted precautionary two-month exclusivity extension
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| 7/31/2013 | DD | Penson plan of liquidation confirmed; trust to distribute assets
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| 7/15/2013 | DD | Penson Worldwide seeks precautionary two-month exclusivity extension
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| 6/27/2013 | DD | Penson Worldwide's settlement of SunGard claim approved by court
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| 6/11/2013 | DD | Penson Worldwide wins 60-day exclusivity extension amid negotiations
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| 6/10/2013 | DD | Penson Worldwide reaches agreement of $17.6 million SunGard claim
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| 5/10/2013 | DD | Penson continues negotiations, seeks extension of exclusive periods
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| 3/26/2013 | DD | Penson wins OK for disclosure statement, sale, securities stipulation
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| 3/21/2013 | DD | Penson selects $10.5 million winning bid for assets, cancels auction
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| 3/8/2013 | DD | Penson Financial creditor: Plan favors SAI, Penson Worldwide debtors
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| 3/8/2013 | DD | Penson wins approval of bid procedures for $10.5 million asset sale
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| 2/25/2013 | DD | Penson alleges Apex breach of credit, assignment agreements in lawsuit
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| 2/22/2013 | DD | Penson eyes $10.5 million sale of trading, online brokerage assets
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| 1/24/2013 | DD | Penson Worldwide three-member creditors committee appointed by trustee
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| 1/22/2013 | DD | Penson reaches $6.5 million settlement of Texas securities litigation
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| 1/15/2013 | DD | Penson Worldwide liquidation plan to close sale of Nexa Technologies
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| 1/14/2013 | BKCVDDHY | S&P cuts Penson Worldwide to D
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| 1/14/2013 | CVDDHY | Penson Worldwide in bankruptcy; noteholders support liquidation plan
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| 8/14/2012 | CVDDHY | Penson, noteholders resume negotiations; no deal could mean bankruptcy
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| 6/7/2012 | CVDDHY | Penson rebounds from failed restructuring, sells futures business
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| 5/21/2012 | CVDDHYLM | Penson fails to launch exchange offer; support agreement terminated
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| 3/15/2012 | BKCVDDHY | Moody's lowers Penson
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| 3/14/2012 | BKCVDDHY | S&P downgrades Penson
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| 3/13/2012 | CVDDHYLMPF | Penson reaches preliminary agreement to reduce debt via exchange offer
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| 11/30/2011 | BKCVDDHY | Moody's downgrades Penson
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| 8/5/2011 | BKCVHY | Penson CEO disappointed with second-quarter results; cost-cutting measures may include sale
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| 8/5/2011 | BKCVHY | Moody's downgrades Penson
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| 8/5/2011 | BKCVHY | S&P: Penson outlook negative
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| 8/4/2011 | BK | Penson to pay down revolver, saving $2 million interest per year
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| 6/30/2011 | BK | Moody's may lower Penson
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| 6/30/2011 | CVHY | Moody's may downgrade Penson
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| 11/4/2010 | BKHY | S&P cuts Penson
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| 4/29/2010 | HY | Market Commentary: Cequel, Seagate, Amkor drive-bys lead busy primary; DSW drops out; funds gain $220 million
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| 4/29/2010 | HY | New Issue: Penson sells $200 million seven-year secured notes at par to yield 121/2%
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| 4/21/2010 | BKCVHY | S&P assigns Penson BB, notes BB-
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| 4/21/2010 | BKCVHY | S&P assigns Penson BB, notes BB-
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| 4/20/2010 | BKCVHY | Moody's assigns Penson, notes B1
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| 4/20/2010 | HY | Penson Worldwide plans to start roadshow Wednesday for $200 million seven-year secured notes
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| 4/20/2010 | HY | Market Commentary: CF, Limited, International Wire, NewWorld price, CF jumps; existing Limiteds gain on tender
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| 4/20/2010 | BK | Penson to repay about $100 million of bank borrowings with notes
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| 11/18/2009 | CVHY | Penson Worldwide files $175 million shelf for stock, debt, preferreds
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| 6/5/2009 | CV | Penson 8% five-year convertibles lifted to $60 million via greenshoe
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| 5/29/2009 | CV | New Issue: Penson prices $50 million five-year convertibles to yield 8%, up 15%
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| 5/29/2009 | CV | Market Commentary: Terex, Take-Two surge on debuts; Penson quiet; GM gains more; Hertz, Wyndham, Allegheny firm
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| 5/28/2009 | CV | Penson Worldwide prices $50 million convertibles to yield 8%, up 15%
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| 5/28/2009 | CV | Market Commentary: GM up on bondholder deal; Allegheny, Terex draw interest; Alliance, Penson, Take-Two quiet
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| 5/27/2009 | CV | Penson Worldwide talks $50 million five-year convertibles at 7.75%-8.25%, up 12.5%-17.5%
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| 5/27/2009 | CV | Market Commentary: GM up amid bankruptcy threat; Allegheny adds, Alliance quiet in gray; Penson, Terex to price
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| 3/23/2007 | SS | Penson Worldwide investor TCV V reports 11.1% stake in company
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| 2/28/2007 | SS | Penson Worldwide investors led by TCV V sell over 500,000 shares of company stock
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| 5/30/2006 | BK | Penson gets $75 million revolver
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