4//SEC Filing
MOSLE JON L JR 4
Accession 0001225208-03-000648
CIK 0000878520other
Filed
Oct 27, 7:00 PM ET
Accepted
Oct 28, 6:13 PM ET
Size
13.5 KB
Accession
0001225208-03-000648
Insider Transaction Report
Form 4
MOSLE JON L JR
Director
Transactions
- Other
Phantom Stock
2003-07-01$20.32/sh+1,513$30,744→ 1,513 totalExercise: $20.32From: 2000-11-01Exp: 2010-11-01→ Common Stock $.10 Par Value (1,513 underlying) - Other
Common Stock $.10 Par Value
2003-07-01−1,513→ 0 total - Exercise of In-Money
Common Stock $.10 Par Value
2003-10-27$10.92/sh+3,272$35,730→ 20,181 total - Exercise of In-Money
Stock Option SWS Stock Option Plan
2003-10-27$10.92/sh−3,272$35,730→ 0 totalExercise: $10.92From: 1999-05-03Exp: 2003-11-03→ Common Stock $.10 Par Value (3,272 underlying)
Holdings
- 2,000
Stock Option SWS Stock Option Plan
Exercise: $12.98From: 2003-05-05Exp: 2007-11-05→ Common Stock $.10 Par Value (2,000 underlying) - 2,974
Stock Option SWS Stock Option Plan
Exercise: $17.98From: 2000-05-01Exp: 2004-11-01→ Common Stock $.10 Par Value (2,974 underlying) - 2,458
Stock Option SWS Stock Option Plan
Exercise: $15.78From: 2002-05-06Exp: 2006-11-06→ Common Stock $.10 Par Value (2,458 underlying) - 2,704
Stock Option SWS Stock Option Plan
Exercise: $20.89From: 2001-04-30Exp: 2005-10-31→ Common Stock $.10 Par Value (2,704 underlying)
Footnotes (4)
- [F1]Transaction to report Phantom Stock as derivative which has been previously reported as non-derivative.
- [F2]Phantom Stock shares/units bear 1:1 ratio to underlying shares.
- [F3]Transaction to correctly report Phantom Stock as derivative which has previously been reported as non-derivative.
- [F4]The shares of phantom stock become payable in cash for the twelve month period beginning on the date of the reporting person's termination of service as a director.
Documents
Issuer
SWS GROUP INC
CIK 0000878520
Entity typeother
Related Parties
1- filerCIK 0001171440
Filing Metadata
- Form type
- 4
- Filed
- Oct 27, 7:00 PM ET
- Accepted
- Oct 28, 6:13 PM ET
- Size
- 13.5 KB