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Home > Insider Trading > Filing (0001225208-11-021721)

Filing Details

Accession Number:: 0001225208-11-021721
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2011-09-14 17:26:25
Reporting Period:: 2011-09-12

Filing Date:: 2011-09-14
Accepted Time:: 2011-09-14 17:26:25
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
1249603	Daniel Leland	1201 Elm Street Suite 3500 Dallas TX 75270	Executive Vice President	No	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

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	2011-09-12	5,000	$5.10	42,446	No	4	P	Direct
Common Stock $.10 Par Value	Acquisiton	2011-09-13	5,000	$5.26	47,446	No	4	P	Direct
Common Stock $.10 Par Value	Acquisiton	2011-09-14	10,000	$5.44	57,446	No	4	P	Direct

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

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock $.10 Par Value	40,000	Indirect	401 (k)