Filing Details
- Accession Number:
- 0001225208-11-015017
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-05-23 18:40:28
- Reporting Period:
- 2011-05-20
- Filing Date:
- 2011-05-23
- Accepted Time:
- 2011-05-23 18:40:28
- 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 | 2011-05-20 | 7,250 | $6.32 | 44,693 | No | 4 | P | Direct | |
| Common Stock $.10 Par Value | Acquisiton | 2011-05-23 | 10,000 | $6.01 | 54,693 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock $.10 Par Value | Deferred Compensation Phantom Stock | $0.00 | 727 | 727 | Direct | ||
| Common Stock $.10 Par Value | Stock Option SWS Stock Option Plan | $8.95 | 2003-08-22 | 2012-08-19 | 12,000 | 12,000 | Direct |
| Common Stock $.10 Par Value | Stock Option SWS Stock Option Plan | $17.37 | 2000-08-23 | 2009-08-21 | 8,924 | 8,924 | Direct |
| Common Stock $.10 Par Value | Stock Option SWS Stock Option Plan | $15.59 | 2001-08-24 | 2010-08-22 | 8,114 | 8,114 | Direct |
| Common Stock $.10 Par Value | Stock Option SWS Stock Option Plan | $10.30 | 2002-09-10 | 2011-09-08 | 7,376 | 7,376 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 727 | 727 | Direct | |
| 2012-08-19 | 12,000 | 12,000 | Direct |
| 2009-08-21 | 8,924 | 8,924 | Direct |
| 2010-08-22 | 8,114 | 8,114 | Direct |
| 2011-09-08 | 7,376 | 7,376 | Direct |
Footnotes
- Shares of deferred compensation phantom stock become payable in common stock on a 1-for-1 basis upon the reporting persons termination of service with the Issuer or at the election of the reporting person during a sixty (60) day period commencing immediately after the first day of any plan year at least four (4) years after the deferral.
Billionaire Hedge Funds
