-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, K6AjBM/V9YLtCVle6wFw7fl8G8jFiVJXI77UsH+wogzSSeg47Jh/p/gZHHfKiYBr ypXQmR68CnJUPcGeNwEvDw== 0000930661-02-000368.txt : 20020414 0000930661-02-000368.hdr.sgml : 20020414 ACCESSION NUMBER: 0000930661-02-000368 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020208 ITEM INFORMATION: Other events FILED AS OF DATE: 20020211 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SOUTHWEST SECURITIES GROUP INC CENTRAL INDEX KEY: 0000878520 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 752040825 STATE OF INCORPORATION: DE FISCAL YEAR END: 0625 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-19483 FILM NUMBER: 02534817 BUSINESS ADDRESS: STREET 1: SUITE 3500 STREET 2: 1201 ELM STREET CITY: DALLAS STATE: TX ZIP: 75270 BUSINESS PHONE: 2146511800 MAIL ADDRESS: STREET 1: SUITE 3500 STREET 2: 1201 ELM STREET CITY: DALLAS STATE: TX ZIP: 75270 8-K 1 d8k.txt FORM 8-K - -------------------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 February 8, 2002 (Date of earliest event reported) SWS Group, Inc. (Exact name of registrant as specified in its charter) Delaware 0-19483 75-2040825 (State or other jurisdiction of (Commission file number) (I.R.S. employer identification incorporation) no.)
1201 Elm Street, Suite 3500, Dallas, Texas 75270 (Address of principal executive offices) (214) 859-1800 (Registrant's telephone number, including area code) - -------------------------------------------------------------------------------- Item 5. Other Events and Regulation FD Disclosure. In December 2001, SWS Group, Inc. ("SWS") announced plans to spin-off Westwood Holdings Group, Inc. ("Westwood"), the holding company for the asset management and trust company operations of SWS. SWS has sold a 19.82% interest in Westwood to members of Westwood's management, and the shares held by Westwood's management will not be distributed in the spin-off. SWS will accomplish the spin-off by distributing all of the common stock of Westwood that it holds to SWS stockholders. As part of the spin-off, SWS stockholders will receive one share of Westwood common stock for every four shares of SWS common stock owned as of the record date for the spin-off. No consideration is payable by SWS stockholders for the shares of Westwood common stock to be received in the spin-off, nor are SWS stockholders expected to surrender or exchange shares of SWS common stock or take any other action in order to receive the Westwood shares pursuant to the spin-off. Additional information concerning Westwood and the spin-off is contained in Westwood's Registration Statement on Form 10 (Commission File No. 001-31234) filed with the Securities and Exchange Commission on February 8, 2002. SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. SWS GROUP, INC. Dated: February 11, 2002 By: /S/ Stacy M. Hodges ------------------------------------------ Stacy M. Hodges Executive Vice President, Chief Financial Officer and Treasurer -----END PRIVACY-ENHANCED MESSAGE-----