-----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, JJ3obZI7gFSHfX7ieF7qeBN9NuhaKzr3jEPciJzMR6GH92J6o8OP2I2oyIfrdTLD OctNtlaWiqKDHB12nlQAnA== 0001225208-07-001533.txt : 20070213 0001225208-07-001533.hdr.sgml : 20070213 20070213163732 ACCESSION NUMBER: 0001225208-07-001533 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070212 FILED AS OF DATE: 20070213 DATE AS OF CHANGE: 20070213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VINTON PAUL D CENTRAL INDEX KEY: 0001251722 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19483 FILM NUMBER: 07610762 BUSINESS ADDRESS: BUSINESS PHONE: 214-859-1800 MAIL ADDRESS: STREET 1: 1201 ELM ST STREET 2: STE 3500 CITY: DALLAS STATE: TX ZIP: 75270 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 4 1 doc4.xml X0202 4 2007-02-12 0000878520 SWS GROUP INC SWS 0001251722 VINTON PAUL D 1201 ELM STREET SUITE 3500 DALLAS TX 75270 1 Executive Vice President Common Stock $.10 Par Value 2007-02-12 4 X 0 12000 8.9467 A 19065 D Common Stock $.10 Par Value 2007-02-12 4 X 0 11062 10.2983 A 30127 D Common Stock $.10 Par Value 2007-02-12 4 X 0 7098 15.5913 A 37225 D Common Stock $.10 Par Value 2007-02-12 4 X 0 6693 17.3672 A 43918 D Common Stock $.10 Par Value 2007-02-12 4 X 0 6133 8.2761 A 50051 D Common Stock $.10 Par Value 2007-02-12 4 S 0 200 29.59 D 49851 D Common Stock $.10 Par Value 2007-02-12 4 S 0 400 29.5 D 49451 D Common Stock $.10 Par Value 2007-02-12 4 S 0 500 29.58 D 48951 D Common Stock $.10 Par Value 2007-02-12 4 S 0 2500 29.03 D 46451 D Common Stock $.10 Par Value 2007-02-12 4 S 0 3300 29.02 D 43151 D Common Stock $.10 Par Value 2007-02-12 4 S 0 4986 29.01 D 38165 D Common Stock $.10 Par Value 2007-02-12 4 S 0 31100 29 D 7065 D Common Stock $.10 Par Value 2241 I 401 (k) Stock Option SWS Stock Option Plan 8.2761 2007-02-12 4 X 0 6133 0 D 1999-08-24 2008-08-21 Common Stock $.10 Par Value 6133 0 D Stock Option SWS Stock Option Plan 8.9467 2007-02-12 4 X 0 12000 0 D 2003-08-22 2012-08-19 Common Stock $.10 Par Value 12000 12000 D Stock Option SWS Stock Option Plan 10.2983 2007-02-12 4 X 0 11062 0 D 2002-09-10 2011-09-08 Common Stock $.10 Par Value 11062 0 D Stock Option SWS Stock Option Plan 15.5913 2007-02-12 4 X 0 7098 0 D 2001-08-24 2010-08-22 Common Stock $.10 Par Value 7098 0 D Stock Option SWS Stock Option Plan 17.3672 2007-02-12 4 X 0 6693 0 D 2000-08-23 2009-08-21 Common Stock $.10 Par Value 6693 0 D Allen R. Tubb, Power of Attorney 2007-02-13 -----END PRIVACY-ENHANCED MESSAGE-----