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