4//SEC Filing
LITTON RICHARD H 4
Accession 0001225208-11-015017
CIK 0000878520other
Filed
May 22, 8:00 PM ET
Accepted
May 23, 6:40 PM ET
Size
12.3 KB
Accession
0001225208-11-015017
Insider Transaction Report
Form 4
LITTON RICHARD H
Executive Vice President
Transactions
- Purchase
Common Stock $.10 Par Value
2011-05-20$6.32/sh+7,250$45,841→ 44,693 total - Purchase
Common Stock $.10 Par Value
2011-05-23$6.01/sh+10,000$60,052→ 54,693 total
Holdings
- 12,000
Stock Option SWS Stock Option Plan
Exercise: $8.95From: 2003-08-22Exp: 2012-08-19→ Common Stock $.10 Par Value (12,000 underlying) - 8,923.5
Stock Option SWS Stock Option Plan
Exercise: $17.37From: 2000-08-23Exp: 2009-08-21→ Common Stock $.10 Par Value (8,923.5 underlying) - 8,113.5
Stock Option SWS Stock Option Plan
Exercise: $15.59From: 2001-08-24Exp: 2010-08-22→ Common Stock $.10 Par Value (8,113.5 underlying) - 727
Deferred Compensation Phantom Stock
→ Common Stock $.10 Par Value (727 underlying) - 7,375.5
Stock Option SWS Stock Option Plan
Exercise: $10.30From: 2002-09-10Exp: 2011-09-08→ Common Stock $.10 Par Value (7,375.5 underlying)
Footnotes (1)
- [F1]Shares of deferred compensation phantom stock become payable in common stock on a 1-for-1 basis upon the reporting persons 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
Issuer
SWS GROUP INC
CIK 0000878520
Entity typeother
Related Parties
1- filerCIK 0001249599
Filing Metadata
- Form type
- 4
- Filed
- May 22, 8:00 PM ET
- Accepted
- May 23, 6:40 PM ET
- Size
- 12.3 KB