0001225208-11-015415.txt : 20110531 0001225208-11-015415.hdr.sgml : 20110530 20110531170952 ACCESSION NUMBER: 0001225208-11-015415 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110526 FILED AS OF DATE: 20110531 DATE AS OF CHANGE: 20110531 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: 11882203 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 2011-05-26 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 2011-05-26 4 P 0 800.0000 6.0037 A 55493.0000 D Common Stock $.10 Par Value 2011-05-31 4 P 0 11950.0000 6.4863 A 67443.0000 D Common Stock $.10 Par Value 2011-05-31 4 P 0 10000.0000 6.4654 A 77443.0000 D Allen R. Tubb, Power of Attorney 2011-05-31