Filing Details

Accession Number:
0001225208-10-013910
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-05-25 13:00:00
Reporting Period:
2010-05-21
Filing Date:
2010-05-25
Accepted Time:
2010-05-25 15:00:36
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
878520 Sws Group Inc SWS Security Brokers, Dealers & Flotation Companies (6211) 752040825
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1308372 H James Ross 1201 Elm Street
Suite 3500
Dallas TX 75270
Executive Vice President No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock $.10 Par Value Acquisiton 2010-05-21 1,000 $9.86 13,000 No 4 P Indirect 401 (k)
Common Stock $.10 Par Value Acquisiton 2010-05-25 5,000 $9.55 18,000 No 4 P Indirect 401 (k)
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect 401 (k)
No 4 P Indirect 401 (k)
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock $.10 Par Value 36,903 Direct