LITTON RICHARD H 4
4 · SWS GROUP INC · Filed May 23, 2011
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.