0001225208-13-018520.txt : 20130823 0001225208-13-018520.hdr.sgml : 20130823 20130823170039 ACCESSION NUMBER: 0001225208-13-018520 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130821 FILED AS OF DATE: 20130823 DATE AS OF CHANGE: 20130823 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: THOMPSON W NORMAN CENTRAL INDEX KEY: 0001249611 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19483 FILM NUMBER: 131058309 MAIL ADDRESS: STREET 1: 1201 ELM STREET STE 3500 CITY: DALLAS STATE: TX ZIP: 75270 4 1 doc4.xml X0306 4 2013-08-21 0000878520 SWS GROUP INC SWS 0001249611 THOMPSON W NORMAN 1201 ELM STREET SUITE 3500 DALLAS TX 75270 1 CIO Common Stock $.10 Par Value 2013-08-21 4 A 0 8993.0000 0 A 38119.0000 D Common Stock $.10 Par Value 11875.0000 I 401 (k) Shares were acquired pursuant to a grant of restricted stock under the SWS Group, Inc. 2012 Restricted Stock Plan. Shares vest ratably over a three year period. The reporting person is responsible for any tax liability associated with vested shares. Allen R. Tubb, Power of Attorney 2013-08-23