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4//SEC Filing

LEVENTHAL LAURA 4

Accession 0001225208-05-002238

CIK 0000878520other

View on SEC.gov Company Profile

Filed

Aug 18, 8:00 PM ET

Accepted

Aug 19, 9:05 PM ET

Size

19.9 KB

Accession

0001225208-05-002238

Insider Transaction Report

Form 4

Period: 2002-08-15

SWS GROUP INCSWS

LEVENTHAL LAURA

Controller

Transactions

Award
Deferred Compensation Phantom Stock
2003-08-15+17→ 621 total
Exercise: $0.00→ Common Stock $.10 Par Value (17 underlying)
Award
Deferred Compensation Phantom Stock
2002-08-15+604→ 604 total
Exercise: $0.00→ Common Stock $.10 Par Value (604 underlying)
Award
Deferred Compensation Phantom Stock
2005-08-17+28→ 667 total
Exercise: $0.00→ Common Stock $.10 Par Value (28 underlying)
Award
Deferred Compensation Phantom Stock
2004-08-15+18→ 639 total
Exercise: $0.00→ Common Stock $.10 Par Value (18 underlying)

Holdings

Stock Option SWS Stock Option Plan
Exercise: $15.45From: 2002-09-10Exp: 2011-09-08→ Common Stock $.10 Par Value (6,146 underlying)
6,146
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
Stock Option SWS Stock Option Plan
Exercise: $13.42From: 2003-08-22Exp: 2012-08-19→ Common Stock $.10 Par Value (5,000 underlying)
5,000
Stock Option SWS Stock Option Plan
Exercise: $26.05From: 2000-08-23Exp: 2009-08-21→ Common Stock $.10 Par Value (3,718 underlying)
3,718
Common Stock $.10 Par Value
2,929
Stock Option SWS Stock Option Plan
Exercise: $23.39From: 2001-08-24Exp: 2010-08-22→ Common Stock $.10 Par Value (3,380 underlying)
3,380
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

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 0001251724

Filing Metadata

Form type: 4
Filed: Aug 18, 8:00 PM ET
Accepted: Aug 19, 9:05 PM ET
Size: 19.9 KB

View on SEC.gov