Filing Details

Accession Number:
0001225208-11-025175
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-11-21 17:00:15
Reporting Period:
2011-11-17
Filing Date:
2011-11-21
Accepted Time:
2011-11-21 17:00:15
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
1021572 J Gerald Ford 1201 Elm Street
Suite 3500
Dallas TX 75270
Yes No 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 2011-11-17 6,731 $0.00 6,731 No 4 A Direct
Common Stock $.10 Par Value Acquisiton 2011-11-17 23,800 $5.27 1,125,600 No 4 P Indirect By Hilltop Holdings Inc.
Common Stock $.10 Par Value Acquisiton 2011-11-18 50,000 $5.49 1,175,600 No 4 P Indirect By Hilltop Holdings Inc.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 P Indirect By Hilltop Holdings Inc.
No 4 P Indirect By Hilltop Holdings Inc.
Footnotes
  1. Shares were acquired pursuant to a grant of restricted stock under the SWS Group, Inc. 2003 Restricted Stock Plan. The award vests one year from the grant date.
  2. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.15 to $5.45, inclusive. The reporting person undertakes to provide SWS Group, Inc., any security holder of SWS Group, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth.
  3. Shares of common stock are held by Hilltop Holdings Inc. of which Mr. Ford is Chairman of the Board and a 26.6% beneficial owner. Mr. Ford disclaims beneficial ownership of the shares of common stock, except to the extent of his pecuniary interest therein.
  4. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.23 to $5.50, inclusive. The reporting person undertakes to provide SWS Group, Inc., any security holder of SWS Group, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth.