0001225208-14-019142.txt : 20140826 0001225208-14-019142.hdr.sgml : 20140826 20140826173829 ACCESSION NUMBER: 0001225208-14-019142 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140825 FILED AS OF DATE: 20140826 DATE AS OF CHANGE: 20140826 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: Ross James H CENTRAL INDEX KEY: 0001308372 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19483 FILM NUMBER: 141066044 MAIL ADDRESS: STREET 1: 1201 ELM STREET, SUITE 3500 CITY: DALLAS STATE: TX ZIP: 75270 4 1 doc4.xml X0306 4 2014-08-25 0000878520 SWS GROUP INC SWS 0001308372 Ross James H 1201 ELM STREET SUITE 3500 DALLAS TX 75270 1 1 President and CEO Common Stock $.10 Par Value 2014-08-25 4 F 0 1094.0000 0 D 290995.0000 D Common Stock $.10 Par Value 33000.0000 I 401 (k) Shares withheld for tax liability by withholding vesting of securities under restricted stock grant. Allen R. Tubb, Power of Attorney 2014-08-26