EDGAR Filing Documents for 0001193125-11-203912

Form 8-K - Current report:

SEC Accession No. 0001193125-11-203912

Filing Date

2011-08-01

Accepted

2011-08-01 10:47:37

Documents

Period of Report

2011-07-29

Items

Item 1.01: Entry into a Material Definitive Agreement
Item 2.03: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
Item 3.02: Unregistered Sales of Equity Securities
Item 5.02: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers
Item 5.03: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
Item 7.01: Regulation FD Disclosure
Item 9.01: Financial Statements and Exhibits

Document Format Files

Seq	Description	Document	Type	Size
1	FORM 8-K	d8k.htm	8-K	36887
2	CERTIFICATE OF DESIGNATIONS OF NON-VOTING PERPETUAL	dex31.htm	EX-3.1	96757
3	WARRANT TO PURCHASE UP TO 8,695,652 SHARES OF COMMON STOCK	dex41.htm	EX-4.1	84418
4	WARRANT TO PURCHASE UP TO 8,419,148 SHARES OF COMMON STOCK	dex42.htm	EX-4.2	84624
5	WARRANT TO PURCHASE UP TO 276,504 SHARES OF COMMON STOCK	dex43.htm	EX-4.3	85208
6	INVESTOR RIGHTS AGREEMENT	dex44.htm	EX-4.4	134090
7	CREDIT AGREEMENT	dex101.htm	EX-10.1	433937
8	PRESS RELEASE	dex991.htm	EX-99.1	12321
9	GRAPHIC	g214614ex99_1pg001.jpg	GRAPHIC	16355
	Complete submission text file	0001193125-11-203912.txt		992664

Mailing Address SUITE 3500 1201 ELM STREET DALLAS TX 75270

Business Address SUITE 3500 1201 ELM STREET DALLAS TX 75270 2146511800

SWS GROUP INC (Filer) CIK: 0000878520 (see all company filings)