4//SEC Filing
VINTON PAUL D 4
Accession 0001225208-11-020835
CIK 0000878520other
Filed
Aug 25, 8:00 PM ET
Accepted
Aug 26, 8:51 PM ET
Size
11.3 KB
Accession
0001225208-11-020835
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.
Documents
Issuer
SWS GROUP INC
CIK 0000878520
Entity typeother
Related Parties
1- filerCIK 0001251722
Filing Metadata
- Form type
- 4
- Filed
- Aug 25, 8:00 PM ET
- Accepted
- Aug 26, 8:51 PM ET
- Size
- 11.3 KB