0001225208-11-015017.txt : 20110523
0001225208-11-015017.hdr.sgml : 20110523
20110523184028
ACCESSION NUMBER: 0001225208-11-015017
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110520
FILED AS OF DATE: 20110523
DATE AS OF CHANGE: 20110523
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LITTON RICHARD H
CENTRAL INDEX KEY: 0001249599
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-19483
FILM NUMBER: 11866374
MAIL ADDRESS:
STREET 1: 1201 ELM STREET 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: 0626
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
X0303
4
2011-05-20
0000878520
SWS GROUP INC
SWS
0001249599
LITTON RICHARD H
1201 ELM STREET
SUITE 3500
DALLAS
TX
75270
1
Executive Vice President
Common Stock $.10 Par Value
2011-05-20
4
P
0
7250.0000
6.3229
A
44693.0000
D
Common Stock $.10 Par Value
2011-05-23
4
P
0
10000.0000
6.0052
A
54693.0000
D
Deferred Compensation Phantom Stock
Common Stock $.10 Par Value
727.0000
727.0000
D
Stock Option SWS Stock Option Plan
8.9467
2003-08-22
2012-08-19
Common Stock $.10 Par Value
12000.0000
12000.0000
D
Stock Option SWS Stock Option Plan
17.3672
2000-08-23
2009-08-21
Common Stock $.10 Par Value
8923.5000
8923.5000
D
Stock Option SWS Stock Option Plan
15.5913
2001-08-24
2010-08-22
Common Stock $.10 Par Value
8113.5000
8113.5000
D
Stock Option SWS Stock Option Plan
10.2983
2002-09-10
2011-09-08
Common Stock $.10 Par Value
7375.5000
7375.5000
D
Shares of deferred compensation phantom stock become payable in common stock on a 1-for-1 basis upon the reporting persons termination of service with the Issuer or at the election of the reporting person during a sixty (60) day period commencing immediately after the first day of any plan year at least four (4) years after the deferral.
Allen R. Tubb, Power of Attorney
2011-05-23