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4//SEC Filing

VINTON PAUL D 4

Accession 0001225208-05-002237

CIK 0000878520other

View on SEC.gov Company Profile

Filed

Aug 18, 8:00 PM ET

Accepted

Aug 19, 9:00 PM ET

Size

21.4 KB

Accession

0001225208-05-002237

Insider Transaction Report

Form 4

Period: 2002-08-15

SWS GROUP INCSWS

Executive Vice President

Transactions

Small Acquisition
Common Stock $.10 Par Value
2005-06-30+2→ 1,474 total(indirect: 401 (k))
Award
Deferred Compensation Phantom Stock
2002-08-15+1,564→ 1,564 total
Exercise: $0.00→ Common Stock $.10 Par Value (1,564 underlying)
Award
Deferred Compensation Phantom Stock
2005-08-17+257→ 1,911 total
Exercise: $0.00→ Common Stock $.10 Par Value (257 underlying)
Award
Deferred Compensation Phantom Stock
2003-08-15+45→ 1,609 total
Exercise: $0.00→ Common Stock $.10 Par Value (45 underlying)
Award
Deferred Compensation Phantom Stock
2004-08-15+45→ 1,654 total
Exercise: $0.00→ Common Stock $.10 Par Value (45 underlying)

Holdings

Stock Option SWS Stock Option Plan
Exercise: $26.05From: 2000-08-23Exp: 2009-08-21→ Common Stock $.10 Par Value (4,462 underlying)
4,462
Stock Option SWS Stock Option Plan
Exercise: $13.75From: 1998-08-27Exp: 2007-08-25→ Common Stock $.10 Par Value (4,292 underlying)
4,292
Stock Option SWS Stock Option Plan
Exercise: $12.41From: 1999-08-24Exp: 2008-08-21→ Common Stock $.10 Par Value (4,089 underlying)
4,089
Common Stock $.10 Par Value
1,346
Stock Option SWS Stock Option Plan
Exercise: $13.42From: 2003-08-22Exp: 2012-08-19→ Common Stock $.10 Par Value (16,000 underlying)
16,000
Stock Option SWS Stock Option Plan
Exercise: $15.45From: 2002-09-10Exp: 2011-09-08→ Common Stock $.10 Par Value (7,375 underlying)
7,375
Stock Option SWS Stock Option Plan
Exercise: $23.39From: 2001-08-24Exp: 2010-08-22→ Common Stock $.10 Par Value (4,732 underlying)
4,732

Footnotes (1)

[F1]Shares of deferred compensation phantom stock become payable in common stock on a 1-for-1 basis upon the reporting person's termination of service with the Issuer or at the election of the reporting person during a sixty (60) day period commencing immediately after the first day of any plan year at least four (4) years after the deferral.

Documents

1 file

4
doc4.xmlPrimary

Issuer

SWS GROUP INC

CIK 0000878520

Entity typeother

Related Parties

1

filerCIK 0001251722

Filing Metadata

Form type: 4
Filed: Aug 18, 8:00 PM ET
Accepted: Aug 19, 9:00 PM ET
Size: 21.4 KB

View on SEC.gov