SC 13D/A 1 a11-26575_1sc13da.htm AMENDMENT

 

 

UNITED STATES

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

 

 

 

SCHEDULE 13D

 

 

Under the Securities Exchange Act of 1934
(Amendment No. 1)

 

SWS GROUP, INC.

(Name of Issuer)

 

Common Stock, par value $0.10 per share

(Title of Class of Securities)

 

78503N 10 7

(CUSIP Number)

 

Corey G. Prestidge

Hilltop Holdings Inc.

200 Crescent Court, Suite 1330

Dallas, Texas 75201

(214) 855-2177

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

 

September 13, 2011

(Date of Event Which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box: o

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.

* The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 


 

CUSIP No.  78503N 10 7

SCHEDULE 13D

 

 

 

1.

Names of Reporting Persons.  I.R.S. Identification Nos. of above persons (entities only).
Hilltop Holdings Inc.           84-1477939

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
WC

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Maryland

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
9,053,052 (a)

 

8.

Shared Voting Power
0

 

9.

Sole Dispositive Power
9,053,052 (a)

 

10.

Shared Dispositive Power
0

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
9,053,052 (a)

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
22.0% (b)

 

 

14.

Type of Reporting Person (See Instructions)
CO

 

(a)           Includes 8,695,652 shares of common stock that are acquirable upon the exercise of a warrant.  The warrant is exercisable at any time for five years from the date of original issuance, but will expire to the extent that SWS Group, Inc. prepays the loan made to it by Hilltop Holdings Inc. and the holder does not exercise a corresponding portion of the warrant.  The exercise price and number of shares of common stock acquirable upon exercise of the warrant is subject to adjustment as set forth in the warrant.

(b)           Based upon 32,539,020 shares of common stock of SWS Group, Inc. outstanding on August 26, 2011, as reported in its Annual Report on Form 10-K for the year ended June 24, 2011.  Shares issuable pursuant to the warrant are treated as if outstanding for computing the percentage ownership of Hilltop Holdings Inc., but are not treated as outstanding for purposes of computing the percentage ownership of any other person.

 

2


 

CUSIP No.  78503N 10 7

SCHEDULE 13D

 

 

This Amendment No. 1 to Schedule 13D amends and supplements the Schedule 13D filed by Hilltop Holdings Inc. with the Securities and Exchange Commission (the “Commission”) on August 8, 2011 (as amended and supplemented, collectively, this “Statement” or this “Schedule 13D”), relating to the common stock, $0.10 par value per share, of SWS Group, Inc., a Delaware corporation.  Initially capitalized terms used herein that are not otherwise defined herein shall have the same meanings attributed to them in the Schedule 13D.  Except as expressly provided for herein, all Items of the Schedule 13D remain unchanged.

 

Item 1.            Security and Issuer

 

Item 1 is hereby amended and restated in its entirety to read as follows:

 

This Schedule 13D relates to 9,053,052 shares of common stock, $0.10 par value per share (the “Common Stock”), of SWS Group, Inc., a Delaware corporation (the “Company” or the “Issuer”).  This includes 8,695,652 shares of Common Stock (and, in some cases, the Company’s non-voting preferred stock, $1.00 par value per share (“Series A Preferred Stock”)) that are acquirable upon the exercise of a warrant issued to Hilltop Holdings Inc. by the Company.  The warrant is exercisable at any time for five years from the date of original issuance, but will expire to the extent that the Company prepays the loan made to it by Hilltop Holdings Inc. and the holder does not exercise a corresponding portion of the warrant.  The exercise price and number of shares of Common Stock acquirable upon exercise of the warrant is subject to adjustment as set forth in the warrant.  This description of the warrant does not purport to be complete and is subject to, and qualified in its entirety by reference to, the full text of the warrant, which is filed as Exhibit 99.2 to this Schedule 13D.

 

The Company’s principal executive office is located at 1201 Elm Street, Suite 3500, Dallas, Texas 75270.

 

Item 3.            Source and Amount of Funds or Other Consideration

 

Item 3 is hereby supplemented to read as follows:

 

From September 6, 2011 through September 13, 2011, the Reporting Person purchased 357,400 shares of Common Stock in the open market for an aggregate cash purchase price of $1,712,535.  The Reporting Person made these purchases utilizing funds from its available working capital.

 

Item 5.            Interest in Securities of the Issuer

 

Item 5 is hereby amended and restated in its entirety to read as follows:

 

(a)           As of September 14, 2011, the Reporting Person was the beneficial owner of 9,053,052 shares of Common Stock, which represents 22.0% of the outstanding Common Stock.  This includes 8,695,652 shares of Common Stock (and, in some cases, the Series A Preferred Stock) that are acquirable upon the exercise of a warrant issued to the Reporting Person by the Company.  The warrant is exercisable at any time for five years from the date of original issuance, but will expire to the extent that the Company prepays the loan made to it by the Reporting Person and the holder does not exercise a corresponding portion of the warrant.  The exercise price and number of shares of Common Stock acquirable upon exercise of the warrant is subject to adjustment as set forth in the warrant.  To the best knowledge of the Reporting Person, none of the Named Individuals beneficially owns any shares of Common Stock.  The foregoing reported percentage ownership is based upon 32,539,020 shares of Common Stock outstanding on August 26, 2011, as reported in the Company’s Annual Report on Form 10-K for the year ended June 24, 2011.  Shares issuable pursuant to the warrant are treated as if outstanding for computing the percentage ownership of the Reporting Person, but are not treated as outstanding for purposes of computing the percentage ownership of any other person.

 

(b)           Until shares of Common Stock are acquired upon exercise of the warrant (and, in some cases, conversion of the Series A Preferred Stock), those shares are not entitled to vote.  The Reporting Person

 

3


 

CUSIP No.  78503N 10 7

SCHEDULE 13D

 

 

has the sole power to vote, or to direct the vote of, and the sole power to dispose, or to direct the disposition of, the shares of Common Stock, the warrant and the shares of Common Stock acquirable upon exercise of the warrant (and, in some cases, the Series A Preferred Stock) reported in this Schedule 13D.  The Named Individuals may be deemed to have beneficial ownership of these securities.  The Named Individuals disclaim beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

 

(c)           Except for the purchases of Common Stock set forth on Schedule A to this Schedule 13D, the Reporting Person has not, and to the Reporting Person’s knowledge, without independent verification, none of the Named Individuals have, effected any transactions in the securities of the Company since the filing of the Schedule 13D by the Reporting Person on August 8, 2011.

 

(d)           Other than the Reporting Person, no other person has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the securities of the Issuer referred to in this Item 5.

 

(e)           Not applicable.

 

SIGNATURE

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

 

Date:     September 15, 2011

HILLTOP HOLDINGS INC.,

 

a Maryland corporation

 

 

 

 

 

 

By:

/s/ COREY PRESTIDGE

 

Name:

Corey Prestidge

 

Title:

General Counsel

 

4


 

Schedule A

 

Transactions in Securities of SWS Group, Inc.

 

Since the filing of the Schedule 13D by Hilltop Holdings Inc. on August 8, 2011, Hilltop Holdings Inc. made the following open market purchases of SWS Group, Inc. common stock.

 

Date of Transaction

 

Number of Shares
Purchased

 

Price Per
Share

 

September 6, 2011

 

22

 

$

3.6900

 

September 6, 2011

 

605

 

$

3.7000

 

September 6, 2011

 

200

 

$

3.7100

 

September 6, 2011

 

100

 

$

3.7200

 

September 6, 2011

 

78

 

$

3.7400

 

September 6, 2011

 

1,600

 

$

3.7700

 

September 6, 2011

 

242

 

$

3.7800

 

September 6, 2011

 

58

 

$

3.7900

 

September 6, 2011

 

100

 

$

3.7985

 

September 6, 2011

 

200

 

$

3.8000

 

September 6, 2011

 

100

 

$

3.8100

 

September 6, 2011

 

100

 

$

3.8300

 

September 6, 2011

 

500

 

$

3.8400

 

September 6, 2011

 

100

 

$

3.8500

 

September 6, 2011

 

100

 

$

3.8600

 

September 6, 2011

 

200

 

$

3.8700

 

September 6, 2011

 

300

 

$

3.8800

 

September 6, 2011

 

100

 

$

3.8888

 

September 6, 2011

 

400

 

$

3.8900

 

September 6, 2011

 

900

 

$

3.9000

 

September 6, 2011

 

761

 

$

3.9100

 

September 6, 2011

 

300

 

$

3.9200

 

September 6, 2011

 

900

 

$

3.9300

 

September 6, 2011

 

100

 

$

3.9394

 

September 6, 2011

 

1,500

 

$

3.9400

 

September 6, 2011

 

1,899

 

$

3.9500

 

September 6, 2011

 

100

 

$

3.9597

 

September 6, 2011

 

2,801

 

$

3.9600

 

September 6, 2011

 

500

 

$

3.9700

 

September 6, 2011

 

200

 

$

3.9800

 

September 6, 2011

 

200

 

$

3.9890

 

September 6, 2011

 

1,102

 

$

3.9900

 

September 6, 2011

 

1,798

 

$

4.0000

 

September 6, 2011

 

1,399

 

$

4.0900

 

September 6, 2011

 

400

 

$

4.1000

 

September 6, 2011

 

534

 

$

4.1300

 

September 6, 2011

 

100

 

$

4.1392

 

September 6, 2011

 

300

 

$

4.1400

 

September 6, 2011

 

43

 

$

4.1700

 

September 6, 2011

 

400

 

$

4.1800

 

September 6, 2011

 

500

 

$

4.1825

 

 

A-1


 

Date of Transaction

 

Number of Shares
Purchased

 

Price Per
Share

 

September 6, 2011

 

100

 

$

4.1884

 

September 6, 2011

 

100

 

$

4.1886

 

September 6, 2011

 

100

 

$

4.1887

 

September 6, 2011

 

100

 

$

4.1889

 

September 6, 2011

 

100

 

$

4.1892

 

September 6, 2011

 

100

 

$

4.1893

 

September 6, 2011

 

100

 

$

4.1899

 

September 6, 2011

 

1,000

 

$

4.1900

 

September 6, 2011

 

200

 

$

4.1975

 

September 6, 2011

 

257

 

$

4.2000

 

September 6, 2011

 

100

 

$

4.2100

 

September 6, 2011

 

200

 

$

4.2150

 

September 6, 2011

 

300

 

$

4.2200

 

September 6, 2011

 

200

 

$

4.2250

 

September 6, 2011

 

100

 

$

4.2287

 

September 6, 2011

 

900

 

$

4.2300

 

September 6, 2011

 

200

 

$

4.2350

 

September 6, 2011

 

100

 

$

4.2392

 

September 6, 2011

 

1,100

 

$

4.2400

 

September 6, 2011

 

200

 

$

4.2425

 

September 6, 2011

 

100

 

$

4.2497

 

September 6, 2011

 

4,000

 

$

4.2500

 

September 6, 2011

 

100

 

$

4.2589

 

September 6, 2011

 

700

 

$

4.2600

 

September 6, 2011

 

100

 

$

4.2690

 

September 6, 2011

 

1,500

 

$

4.2700

 

September 6, 2011

 

4,100

 

$

4.2800

 

September 6, 2011

 

100

 

$

4.2897

 

September 6, 2011

 

100

 

$

4.2898

 

September 6, 2011

 

7,199

 

$

4.2900

 

September 6, 2011

 

100

 

$

4.2983

 

September 6, 2011

 

100

 

$

4.2984

 

September 6, 2011

 

100

 

$

4.2992

 

September 6, 2011

 

4,402

 

$

4.3000

 

September 6, 2011

 

200

 

$

4.3300

 

September 6, 2011

 

600

 

$

4.3400

 

September 6, 2011

 

100

 

$

4.3600

 

September 6, 2011

 

1,420

 

$

4.3700

 

September 6, 2011

 

400

 

$

4.3800

 

September 6, 2011

 

100

 

$

4.3887

 

September 6, 2011

 

480

 

$

4.3900

 

September 6, 2011

 

600

 

$

4.4000

 

September 6, 2011

 

100

 

$

4.4195

 

September 6, 2011

 

1,480

 

$

4.4200

 

September 6, 2011

 

100

 

$

4.4300

 

September 6, 2011

 

820

 

$

4.4500

 

September 6, 2011

 

2,184

 

$

4.4700

 

September 6, 2011

 

3,000

 

$

4.4800

 

 

A-2


 

Date of Transaction

 

Number of Shares
Purchased

 

Price Per
Share

 

September 6, 2011

 

200

 

$

4.4825

 

September 6, 2011

 

100

 

$

4.4850

 

September 6, 2011

 

1,200

 

$

4.4900

 

September 6, 2011

 

400

 

$

4.4925

 

September 6, 2011

 

1,216

 

$

4.5000

 

September 6, 2011

 

1,500

 

$

4.5100

 

September 6, 2011

 

1,100

 

$

4.5200

 

September 6, 2011

 

100

 

$

4.5250

 

September 6, 2011

 

1,400

 

$

4.5300

 

September 6, 2011

 

100

 

$

4.5380

 

September 6, 2011

 

100

 

$

4.5391

 

September 6, 2011

 

1,200

 

$

4.5400

 

September 6, 2011

 

100

 

$

4.5475

 

September 6, 2011

 

100

 

$

4.5488

 

September 6, 2011

 

100

 

$

4.5498

 

September 6, 2011

 

1,500

 

$

4.5500

 

September 6, 2011

 

100

 

$

4.5584

 

September 6, 2011

 

3,700

 

$

4.5600

 

September 6, 2011

 

100

 

$

4.5668

 

September 6, 2011

 

2,900

 

$

4.5700

 

September 6, 2011

 

4,000

 

$

4.5800

 

September 6, 2011

 

100

 

$

4.5877

 

September 6, 2011

 

600

 

$

4.5900

 

September 6, 2011

 

100

 

$

4.5996

 

September 6, 2011

 

3,000

 

$

4.6000

 

September 6, 2011

 

100

 

$

4.6079

 

September 6, 2011

 

100

 

$

4.6096

 

September 6, 2011

 

200

 

$

4.6098

 

September 6, 2011

 

8,749

 

$

4.6100

 

September 6, 2011

 

100

 

$

4.6186

 

September 6, 2011

 

100

 

$

4.6189

 

September 6, 2011

 

100

 

$

4.6192

 

September 6, 2011

 

100

 

$

4.6199

 

September 6, 2011

 

1,251

 

$

4.6200

 

September 6, 2011

 

100

 

$

4.6279

 

September 6, 2011

 

1,500

 

$

4.6300

 

September 6, 2011

 

100

 

$

4.6388

 

September 6, 2011

 

13,300

 

$

4.6400

 

September 6, 2011

 

100

 

$

4.6486

 

September 6, 2011

 

100

 

$

4.6495

 

September 6, 2011

 

100

 

$

4.6496

 

September 6, 2011

 

4,900

 

$

4.6500

 

September 6, 2011

 

100

 

$

4.6585

 

September 6, 2011

 

100

 

$

4.6678

 

September 6, 2011

 

100

 

$

4.6679

 

September 6, 2011

 

100

 

$

4.6693

 

September 6, 2011

 

1,100

 

$

4.6700

 

September 6, 2011

 

100

 

$

4.6788

 

 

A-3


 

Date of Transaction

 

Number of Shares
Purchased

 

Price Per
Share

 

September 6, 2011

 

100

 

$

4.6795

 

September 6, 2011

 

1,000

 

$

4.6800

 

September 6, 2011

 

100

 

$

4.6886

 

September 6, 2011

 

3,700

 

$

4.6900

 

September 6, 2011

 

100

 

$

4.6998

 

September 6, 2011

 

11,200

 

$

4.7000

 

September 6, 2011

 

400

 

$

4.7100

 

September 6, 2011

 

300

 

$

4.7125

 

September 6, 2011

 

400

 

$

4.7200

 

September 6, 2011

 

200

 

$

4.7225

 

September 6, 2011

 

3,600

 

$

4.7300

 

September 6, 2011

 

100

 

$

4.7393

 

September 6, 2011

 

1,300

 

$

4.7400

 

September 6, 2011

 

100

 

$

4.7489

 

September 6, 2011

 

10,900

 

$

4.7500

 

September 7, 2011

 

300

 

$

4.6200

 

September 7, 2011

 

1,400

 

$

4.6300

 

September 7, 2011

 

1,420

 

$

4.6400

 

September 7, 2011

 

100

 

$

4.6500

 

September 7, 2011

 

180

 

$

4.6525

 

September 7, 2011

 

850

 

$

4.6600

 

September 7, 2011

 

1,800

 

$

4.6700

 

September 7, 2011

 

1,400

 

$

4.6800

 

September 7, 2011

 

400

 

$

4.6850

 

September 7, 2011

 

100

 

$

4.6875

 

September 7, 2011

 

100

 

$

4.6896

 

September 7, 2011

 

100

 

$

4.6898

 

September 7, 2011

 

100

 

$

4.6899

 

September 7, 2011

 

1,576

 

$

4.6900

 

September 7, 2011

 

50

 

$

4.6950

 

September 7, 2011

 

100

 

$

4.6983

 

September 7, 2011

 

100

 

$

4.6992

 

September 7, 2011

 

1,424

 

$

4.7000

 

September 7, 2011

 

100

 

$

4.7075

 

September 7, 2011

 

1,100

 

$

4.7100

 

September 7, 2011

 

2,300

 

$

4.7200

 

September 7, 2011

 

6,100

 

$

4.7300

 

September 7, 2011

 

100

 

$

4.7380

 

September 7, 2011

 

200

 

$

4.7383

 

September 7, 2011

 

100

 

$

4.7384

 

September 7, 2011

 

100

 

$

4.7393

 

September 7, 2011

 

100

 

$

4.7395

 

September 7, 2011

 

100

 

$

4.7397

 

September 7, 2011

 

100

 

$

4.7399

 

September 7, 2011

 

3,211

 

$

4.7400

 

September 7, 2011

 

100

 

$

4.7425

 

September 7, 2011

 

3,289

 

$

4.7500

 

September 7, 2011

 

200

 

$

4.7596

 

 

A-4


 

Date of Transaction

 

Number of Shares
Purchased

 

Price Per
Share

 

September 7, 2011

 

865

 

$

4.7600

 

September 7, 2011

 

200

 

$

4.7650

 

September 7, 2011

 

100

 

$

4.7681

 

September 7, 2011

 

1,950

 

$

4.7700

 

September 7, 2011

 

1,235

 

$

4.7800

 

September 7, 2011

 

100

 

$

4.7891

 

September 7, 2011

 

1,550

 

$

4.7900

 

September 7, 2011

 

100

 

$

4.7979

 

September 7, 2011

 

100

 

$

4.7994

 

September 7, 2011

 

700

 

$

4.8000

 

September 7, 2011

 

400

 

$

4.8100

 

September 7, 2011

 

200

 

$

4.8150

 

September 7, 2011

 

500

 

$

4.8200

 

September 7, 2011

 

100

 

$

4.8300

 

September 7, 2011

 

1,600

 

$

4.8400

 

September 7, 2011

 

2,600

 

$

4.8500

 

September 7, 2011

 

100

 

$

4.8579

 

September 7, 2011

 

1,100

 

$

4.8600

 

September 7, 2011

 

100

 

$

4.8684

 

September 7, 2011

 

93

 

$

4.8695

 

September 7, 2011

 

200

 

$

4.8696

 

September 7, 2011

 

1,707

 

$

4.8700

 

September 7, 2011

 

91

 

$

4.8800

 

September 7, 2011

 

2,396

 

$

4.8900

 

September 7, 2011

 

1,122

 

$

4.9000

 

September 7, 2011

 

3,280

 

$

4.9100

 

September 7, 2011

 

100

 

$

4.9197

 

September 7, 2011

 

5,302

 

$

4.9200

 

September 7, 2011

 

2,100

 

$

4.9300

 

September 7, 2011

 

100

 

$

4.9391

 

September 7, 2011

 

100

 

$

4.9392

 

September 7, 2011

 

2,300

 

$

4.9400

 

September 7, 2011

 

3,229

 

$

4.9500

 

September 7, 2011

 

5,271

 

$

4.9600

 

September 7, 2011

 

100

 

$

4.9696

 

September 7, 2011

 

3,209

 

$

4.9700

 

September 8, 2011

 

3,700

 

$

5.2500

 

September 8, 2011

 

100

 

$

5.2493

 

September 8, 2011

 

100

 

$

5.2487

 

September 8, 2011

 

155

 

$

5.2425

 

September 8, 2011

 

3,145

 

$

5.2400

 

September 8, 2011

 

2,400

 

$

5.2300

 

September 8, 2011

 

100

 

$

5.2299

 

September 8, 2011

 

100

 

$

5.2298

 

September 8, 2011

 

100

 

$

5.2293

 

September 8, 2011

 

100

 

$

5.2281

 

September 8, 2011

 

200

 

$

5.2250

 

September 8, 2011

 

600

 

$

5.2200

 

 

A-5


 

Date of Transaction

 

Number of Shares
Purchased

 

Price Per
Share

 

September 8, 2011

 

100

 

$

5.2167

 

September 8, 2011

 

300

 

$

5.2125

 

September 8, 2011

 

800

 

$

5.2100

 

September 8, 2011

 

500

 

$

5.2000

 

September 8, 2011

 

2,500

 

$

5.1900

 

September 8, 2011

 

100

 

$

5.1896

 

September 8, 2011

 

3,700

 

$

5.1800

 

September 8, 2011

 

4,100

 

$

5.1700

 

September 8, 2011

 

100

 

$

5.1693

 

September 8, 2011

 

200

 

$

5.1625

 

September 8, 2011

 

2,556

 

$

5.1600

 

September 8, 2011

 

100

 

$

5.1595

 

September 8, 2011

 

100

 

$

5.1588

 

September 8, 2011

 

5,200

 

$

5.1500

 

September 8, 2011

 

100

 

$

5.1499

 

September 8, 2011

 

200

 

$

5.1496

 

September 8, 2011

 

200

 

$

5.1494

 

September 8, 2011

 

100

 

$

5.1493

 

September 8, 2011

 

100

 

$

5.1492

 

September 8, 2011

 

200

 

$

5.1484

 

September 8, 2011

 

100

 

$

5.1482

 

September 8, 2011

 

100

 

$

5.1475

 

September 8, 2011

 

44

 

$

5.1450

 

September 8, 2011

 

5,308

 

$

5.1400

 

September 8, 2011

 

200

 

$

5.1398

 

September 8, 2011

 

200

 

$

5.1397

 

September 8, 2011

 

100

 

$

5.1394

 

September 8, 2011

 

300

 

$

5.1350

 

September 8, 2011

 

4,592

 

$

5.1300

 

September 8, 2011

 

100

 

$

5.1295

 

September 8, 2011

 

100

 

$

5.1293

 

September 8, 2011

 

9,026

 

$

5.1200

 

September 8, 2011

 

100

 

$

5.1197

 

September 8, 2011

 

100

 

$

5.1194

 

September 8, 2011

 

100

 

$

5.1192

 

September 8, 2011

 

702

 

$

5.1100

 

September 8, 2011

 

1,392

 

$

5.1000

 

September 8, 2011

 

2,098

 

$

5.0900

 

September 8, 2011

 

100

 

$

5.0899

 

September 8, 2011

 

100

 

$

5.0867

 

September 8, 2011

 

802

 

$

5.0800

 

September 8, 2011

 

100

 

$

5.0780

 

September 8, 2011

 

1,300

 

$

5.0700

 

September 8, 2011

 

4,528

 

$

5.0600

 

September 8, 2011

 

200

 

$

5.0599

 

September 8, 2011

 

200

 

$

5.0598

 

September 8, 2011

 

400

 

$

5.0594

 

September 8, 2011

 

100

 

$

5.0592

 

 

A-6


 

Date of Transaction

 

Number of Shares
Purchased

 

Price Per
Share

 

September 8, 2011

 

100

 

$

5.0585

 

September 8, 2011

 

100

 

$

5.0584

 

September 8, 2011

 

3,172

 

$

5.0500

 

September 8, 2011

 

900

 

$

5.0400

 

September 8, 2011

 

599

 

$

5.0300

 

September 8, 2011

 

200

 

$

5.0200

 

September 8, 2011

 

81

 

$

5.0150

 

September 8, 2011

 

398

 

$

5.0100

 

September 8, 2011

 

602

 

$

5.0000

 

September 8, 2011

 

1,300

 

$

4.9900

 

September 8, 2011

 

100

 

$

4.9850

 

September 8, 2011

 

200

 

$

4.9800

 

September 8, 2011

 

400

 

$

4.9700

 

September 8, 2011

 

200

 

$

4.9600

 

September 8, 2011

 

300

 

$

4.9500

 

September 8, 2011

 

1,000

 

$

4.9000

 

September 9, 2011

 

100

 

$

5.0800

 

September 9, 2011

 

400

 

$

5.1400

 

September 9, 2011

 

700

 

$

5.1500

 

September 9, 2011

 

200

 

$

5.1600

 

September 9, 2011

 

163

 

$

5.1700

 

September 9, 2011

 

1,637

 

$

5.1800

 

September 9, 2011

 

200

 

$

5.1900

 

September 9, 2011

 

600

 

$

5.2000

 

September 9, 2011

 

200

 

$

5.2100

 

September 9, 2011

 

1,158

 

$

5.2200

 

September 9, 2011

 

100

 

$

5.2275

 

September 9, 2011

 

1,837

 

$

5.2300

 

September 9, 2011

 

1,741

 

$

5.2400

 

September 9, 2011

 

200

 

$

5.2495

 

September 9, 2011

 

100

 

$

5.2496

 

September 9, 2011

 

200

 

$

5.2498

 

September 9, 2011

 

5,664

 

$

5.2500

 

September 12, 2011

 

3,622

 

$

5.2500

 

September 12, 2011

 

621

 

$

5.2400

 

September 12, 2011

 

100

 

$

5.2399

 

September 12, 2011

 

100

 

$

5.2396

 

September 12, 2011

 

1,100

 

$

5.2300

 

September 12, 2011

 

100

 

$

5.2299

 

September 12, 2011

 

100

 

$

5.2294

 

September 12, 2011

 

100

 

$

5.2290

 

September 12, 2011

 

100

 

$

5.2287

 

September 12, 2011

 

1,700

 

$

5.2200

 

September 12, 2011

 

300

 

$

5.2100

 

September 12, 2011

 

1,979

 

$

5.2000

 

September 12, 2011

 

2,132

 

$

5.1900

 

September 12, 2011

 

100

 

$

5.1894

 

September 12, 2011

 

200

 

$

5.1888

 

 

A-7


 

Date of Transaction

 

Number of Shares
Purchased

 

Price Per
Share

 

September 12, 2011

 

3,000

 

$

5.1800

 

September 12, 2011

 

100

 

$

5.1799

 

September 12, 2011

 

100

 

$

5.1792

 

September 12, 2011

 

100

 

$

5.1790

 

September 12, 2011

 

100

 

$

5.1788

 

September 12, 2011

 

200

 

$

5.1782

 

September 12, 2011

 

100

 

$

5.1778

 

September 12, 2011

 

100

 

$

5.1772

 

September 12, 2011

 

2,168

 

$

5.1700

 

September 12, 2011

 

100

 

$

5.1693

 

September 12, 2011

 

100

 

$

5.1689

 

September 12, 2011

 

100

 

$

5.1687

 

September 12, 2011

 

1,469

 

$

5.1600

 

September 12, 2011

 

100

 

$

5.1588

 

September 12, 2011

 

1,000

 

$

5.1500

 

September 12, 2011

 

617

 

$

5.1400

 

September 12, 2011

 

100

 

$

5.1393

 

September 12, 2011

 

1,400

 

$

5.1300

 

September 12, 2011

 

100

 

$

5.1285

 

September 12, 2011

 

100

 

$

5.1276

 

September 12, 2011

 

2,509

 

$

5.1200

 

September 12, 2011

 

100

 

$

5.1185

 

September 12, 2011

 

100

 

$

5.1182

 

September 12, 2011

 

1,283

 

$

5.1100

 

September 12, 2011

 

1,200

 

$

5.1000

 

September 12, 2011

 

100

 

$

5.0900

 

September 12, 2011

 

200

 

$

5.0700

 

September 12, 2011

 

100

 

$

5.0685

 

September 12, 2011

 

100

 

$

5.0681

 

September 13, 2011

 

6,400

 

$

5.2500

 

September 13, 2011

 

100

 

$

5.2491

 

September 13, 2011

 

200

 

$

5.2475

 

September 13, 2011

 

40

 

$

5.2425

 

September 13, 2011

 

1,760

 

$

5.2400

 

September 13, 2011

 

100

 

$

5.2377

 

September 13, 2011

 

1,100

 

$

5.2300

 

September 13, 2011

 

100

 

$

5.2289

 

September 13, 2011

 

100

 

$

5.2283

 

September 13, 2011

 

500

 

$

5.2200

 

September 13, 2011

 

100

 

$

5.2197

 

September 13, 2011

 

100

 

$

5.2178

 

September 13, 2011

 

980

 

$

5.2100

 

September 13, 2011

 

100

 

$

5.2080

 

September 13, 2011

 

720

 

$

5.2000

 

September 13, 2011

 

100

 

$

5.1998

 

September 13, 2011

 

300

 

$

5.1900

 

September 13, 2011

 

200

 

$

5.1700

 

Total

 

357,400

 

 

 

 

A-8