0001225208-13-023790.txt : 20131118 0001225208-13-023790.hdr.sgml : 20131118 20131118163554 ACCESSION NUMBER: 0001225208-13-023790 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131114 FILED AS OF DATE: 20131118 DATE AS OF CHANGE: 20131118 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: Moses Michael A CENTRAL INDEX KEY: 0001304696 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19483 FILM NUMBER: 131227398 MAIL ADDRESS: STREET 1: 2001 ROSS AVENUE STREET 2: SUITE 3400 CITY: DALLAS STATE: TX ZIP: 75201 4 1 doc4.xml X0306 4 2013-11-14 0000878520 SWS GROUP INC SWS 0001304696 Moses Michael A 1201 ELM STREET SUITE 3500 DALLAS TX 75270 1 Common Stock $.10 Par Value 2013-11-14 4 A 0 5963.0000 0 A 38748.0000 D Shares were acquired pursuant to a grant of restricted stock under the SWS Group 2012 Restricted Stock Plan. Shares vest one year from the date of grant. The reporting person is responsible for any tax liability associated with vested shares. Allen R. Tubb, Power of Attorney 2013-11-18