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