Home > Insider Trading > Filing (0001225208-11-025175)

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
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

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.
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.
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.
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.