Filing Details

Accession Number:
0001225208-11-021864
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-09-16 17:14:54
Reporting Period:
2011-09-16
Filing Date:
2011-09-16
Accepted Time:
2011-09-16 17:14:54
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
1249599 H Richard Litton 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 2011-09-16 6,000 $5.83 83,443 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct