Filing Details
- Accession Number:
- 0001104659-11-064928
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-17 17:29:08
- Reporting Period:
- 2011-11-15
- Filing Date:
- 2011-11-17
- Accepted Time:
- 2011-11-17 17:29:08
- 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 |
|---|---|---|---|---|---|---|---|
| 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 | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2011-11-15 | 15,000 | $5.38 | 372,400 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2011-11-16 | 729,400 | $5.28 | 1,101,800 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 $5.15 to $5.50, inclusive.
- The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.24 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 ranges set forth in footnotes (1) and (2) to this Form 4.
Billionaire Hedge Funds
