0001104659-11-066117.txt : 20111123 0001104659-11-066117.hdr.sgml : 20111123 20111123160517 ACCESSION NUMBER: 0001104659-11-066117 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111121 FILED AS OF DATE: 20111123 DATE AS OF CHANGE: 20111123 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: 111225424 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 2011-11-21 0 0000878520 SWS GROUP INC SWS 0001265131 Hilltop Holdings Inc. 200 CRESCENT COURT, SUITE 1330 DALLAS TX 75201 0 0 1 0 Common Stock 2011-11-21 4 P 0 46300 5.4698 A 1221900 D Common Stock 2011-11-22 4 P 0 100000 5.4727 A 1321900 D The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.37 to $5.50, inclusive. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.41 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. 2011-11-23