0001225208-11-020840.txt : 20110829 0001225208-11-020840.hdr.sgml : 20110829 20110829122928 ACCESSION NUMBER: 0001225208-11-020840 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110829 DATE AS OF CHANGE: 20110829 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HOLDGES STACY M CENTRAL INDEX KEY: 0001249618 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19483 FILM NUMBER: 111062097 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: 0624 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 X0304 4 2011-06-30 0000878520 SWS GROUP INC SWS 0001249618 HOLDGES STACY M 1201 ELM STREET SUITE 3500 DALLAS TX 75270 1 Executive Vice President Common Stock $.10 Par Value 2011-08-24 4 F 0 201.0000 0 D 12071.0000 D Common Stock $.10 Par Value 2011-08-25 4 F 0 224.0000 0 D 11847.0000 D Common Stock $.10 Par Value 2011-06-30 4 L 0 311.0000 0 A 6310.0000 I 401 (k) Deferred Compensation Phantom Stock 2011-06-30 4 A 0 116.0000 A Common Stock $.10 Par Value 116.0000 4615.0000 D Stock Option SWS Stock Option Plan 8.9467 2003-08-22 2012-08-19 Common Stock $.10 Par Value 6750.0000 6750.0000 D Stock Option SWS Stock Option Plan 15.9127 2001-08-24 2010-08-22 Common Stock $.10 Par Value 6084.0000 6084.0000 D Stock Option SWS Stock Option Plan 10.2983 2002-09-10 2011-09-08 Common Stock $.10 Par Value 8296.5000 8296.5000 D Shares withheld for tax liability by withholding vesting of securities under restricted stock grant. Acquisition or disposition pursuant to terms of 401(k) plan. 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 2011-08-26