-----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, QD2FjguPkJuHKHPZGqXkZUAIxnlkEeP3ZykWsfQFl+XY1NG0ccy4F+y49d+vdMOb qbj3pXWcwsR8kyp2ne2Rtw== 0001225208-06-003806.txt : 20060731 0001225208-06-003806.hdr.sgml : 20060731 20060731060446 ACCESSION NUMBER: 0001225208-06-003806 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060727 FILED AS OF DATE: 20060731 DATE AS OF CHANGE: 20060731 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: 0625 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: COBB BRODIE L CENTRAL INDEX KEY: 0001182222 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19483 FILM NUMBER: 06989472 BUSINESS ADDRESS: BUSINESS PHONE: 214-859-1800 MAIL ADDRESS: STREET 1: 832 SANSOME ST STREET 2: 1ST FL CITY: SAN FRANCISCO STATE: CA ZIP: 94111 4 1 doc4.xml X0202 4 2006-07-27 0000878520 SWS GROUP INC SWS 0001182222 COBB BRODIE L 1201 ELM STREET SUITE 3500 DALLAS TX 75270 1 Common Stock $.10 Par Value 2006-07-27 4 S 0 100 24.84 D 19900 I By Self as Trustee for the BC Fifteen Year 2004 GRAT Common Stock $.10 Par Value 2006-07-27 4 S 0 100 24.8 D 19800 I By Self as Trustee for the BC Fifteen Year 2004 GRAT Common Stock $.10 Par Value 2006-07-27 4 S 0 100 24.73 D 19700 I By Self as Trustee for the BC Fifteen Year 2004 GRAT Common Stock $.10 Par Value 2006-07-27 4 S 0 100 24.69 D 19600 I By Self as Trustee for the BC Fifteen Year 2004 GRAT Common Stock $.10 Par Value 2006-07-27 4 S 0 100 24.71 D 19500 I By Self as Trustee for the BC Fifteen Year 2004 GRAT Common Stock $.10 Par Value 2006-07-27 4 S 0 200 24.74 D 19300 I By Self as Trustee for the BC Fifteen Year 2004 GRAT Common Stock $.10 Par Value 2006-07-27 4 S 0 200 24.72 D 19100 I By Self as Trustee for the BC Fifteen Year 2004 GRAT Common Stock $.10 Par Value 2006-07-27 4 S 0 200 24.78 D 18900 I By Self as Trustee for the BC Fifteen Year 2004 GRAT Common Stock $.10 Par Value 2006-07-27 4 S 0 200 24.82 D 18700 I By Self as Trustee for the BC Fifteen Year 2004 GRAT Common Stock $.10 Par Value 2006-07-27 4 S 0 300 24.77 D 18400 I By Self as Trustee for the BC Fifteen Year 2004 GRAT Common Stock $.10 Par Value 2006-07-27 4 S 0 400 24.89 D 18000 I By Self as Trustee for the BC Fifteen Year 2004 GRAT Common Stock $.10 Par Value 2006-07-27 4 S 0 800 24.87 D 17200 I By Self as Trustee for the BC Fifteen Year 2004 GRAT Common Stock $.10 Par Value 2006-07-27 4 S 0 1100 24.75 D 16100 I By Self as Trustee for the BC Fifteen Year 2004 GRAT Common Stock $.10 Par Value 2006-07-27 4 S 0 1100 24.76 D 15000 I By Self as Trustee for the BC Fifteen Year 2004 GRAT Common Stock $.10 Par Value 2006-07-27 4 S 0 1100 24.83 D 13900 I By Self as Trustee for the BC Fifteen Year 2004 GRAT Common Stock $.10 Par Value 2006-07-27 4 S 0 5600 24.85 D 8300 I By Self as Trustee for the BC Fifteen Year 2004 GRAT Common Stock $.10 Par Value 708389 I Family Partnership Common Stock $.10 Par Value 1815 D Common Stock $.10 Par Value 74139 I By Self as Trustee for the BC Ten Year 2004 GRAT Sales being made are pursuant to a Plan adopted on 03/27/06 intended to comply with Rule 10b5-1 of the Securities Exchange Act of 1934. Allen R. Tubb, Power of Attorney 2006-07-29 -----END PRIVACY-ENHANCED MESSAGE-----