Filing Details

Accession Number:
0001225208-11-021564
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-09-08 18:28:47
Reporting Period:
2011-09-06
Filing Date:
2011-09-08
Accepted Time:
2011-09-08 17:28:47
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
President And Ceo Yes 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 2011-09-06 15,000 $3.76 33,000 No 4 P Indirect 401 (k)
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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