0001225208-13-017908.txt : 20130815 0001225208-13-017908.hdr.sgml : 20130815 20130815190952 ACCESSION NUMBER: 0001225208-13-017908 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121120 FILED AS OF DATE: 20130815 DATE AS OF CHANGE: 20130815 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: 0630 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CRANDALL J TAYLOR CENTRAL INDEX KEY: 0000911380 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19483 FILM NUMBER: 131043522 BUSINESS ADDRESS: STREET 1: 2775 SAND HILL RD STREET 2: SUITE 220 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 6502340517 MAIL ADDRESS: STREET 1: 2775 SAND HILL RD STREET 2: SUITE 220 CITY: MENLO PARK STATE: CA ZIP: 94025 4 1 doc4.xml X0306 4 2012-11-20 0000878520 SWS GROUP INC SWS 0000911380 CRANDALL J TAYLOR 1201 ELM STREET SUITE 3500 DALLAS TX 75270 1 Common Stock $.10 Par Value 2012-11-20 4 G 0 6731.0000 0 D 0.0000 D Mr. Crandall is a Managing Partner of Oak Hill Capital Management, LLC ("OHCM"). Pursuant to the policies of OHCM and its affiliates and the investment funds it advises, the Reporting Person held the reported securities for the benefit of OHCM and, upon the vesting of the reported securities, assigned all economic, pecuniary and voting rights to OHCM for no consideration. The Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the beneficial owner of any securities covered by this statement. The Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. Allen R. Tubb, Power of Attorney 2013-08-15