VINTON PAUL D 4
4 · SWS GROUP INC · Filed Aug 26, 2011
Insider Transaction Report
Form 4
VINTON PAUL D
Executive Vice President
Transactions
- Tax Payment
Common Stock $.10 Par Value
2011-08-25−226→ 11,777 total - Tax Payment
Common Stock $.10 Par Value
2011-08-24−203→ 12,003 total - Award
Deferred Compensation Phantom Stock
2011-06-30+129→ 5,163 total→ Common Stock $.10 Par Value (129 underlying) - Small Acquisition
Common Stock $.10 Par Value
2011-06-30+140→ 2,836 total(indirect: 401 (k))
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)
Footnotes (3)
- [F1]Shares withheld for tax liability by withholding vesting of securities under restricted stock grant.
- [F2]Acquisition or disposition pursuant to terms of 401(k) plan.
- [F3]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.