0001104659-11-064928.txt : 20111117
0001104659-11-064928.hdr.sgml : 20111117
20111117172908
ACCESSION NUMBER: 0001104659-11-064928
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111115
FILED AS OF DATE: 20111117
DATE AS OF CHANGE: 20111117
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SWS 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: 0624
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
FORMER COMPANY:
FORMER CONFORMED NAME: SOUTHWEST SECURITIES GROUP INC
DATE OF NAME CHANGE: 19930328
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hilltop Holdings Inc.
CENTRAL INDEX KEY: 0001265131
STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331]
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-19483
FILM NUMBER: 111214118
BUSINESS ADDRESS:
STREET 1: 200 CRESCENT COURT
STREET 2: SUITE 1330
CITY: DALLAS
STATE: TX
ZIP: 75201
BUSINESS PHONE: 214.855.2177
MAIL ADDRESS:
STREET 1: 200 CRESCENT COURT
STREET 2: SUITE 1330
CITY: DALLAS
STATE: TX
ZIP: 75201
FORMER NAME:
FORMER CONFORMED NAME: AFFORDABLE RESIDENTIAL COMMUNITIES INC
DATE OF NAME CHANGE: 20030929
4
1
a4.xml
4
X0304
4
2011-11-15
0
0000878520
SWS GROUP INC
SWS
0001265131
Hilltop Holdings Inc.
200 CRESCENT COURT, SUITE 1330
DALLAS
TX
75201
0
0
1
0
Common Stock
2011-11-15
4
P
0
15000
5.3762
A
372400
D
Common Stock
2011-11-16
4
P
0
729400
5.2791
A
1101800
D
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.
/s/ Corey G. Prestidge, as General Counsel of Hilltop Holdings Inc.
2011-11-17