Home > Insider Trading > Filing (0001104659-11-050951)

Filing Details

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
1265131	Hilltop Holdings Inc.	200 Crescent Court, Suite 1330 Dallas TX 75201		No	No	Yes	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2011-09-06	120,500	$4.39	120,500	No	4	P	Direct
Common Stock	Acquisiton	2011-09-06	32,300	$4.72	152,800	No	4	P	Direct
Common Stock	Acquisiton	2011-09-07	73,000	$4.82	225,800	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct

Footnotes

The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.69 to $4.6886, inclusive.
The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.69 to $4.75, inclusive.
The price reported is a weighted average price. These shares were purchase in multiple transactions at prices ranging from $4.62 to $4.97, 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 ranges set forth in footnotes (1), (2) and (3) to this Form 4.