THOMPSON W NORMAN 4
4 · SWS GROUP INC · Filed Aug 26, 2011
Insider Transaction Report
Form 4
Transactions
- Tax Payment
Common Stock $.10 Par Value
2011-08-24−201→ 12,795 total - Tax Payment
Common Stock $.10 Par Value
2011-08-25−224→ 12,571 total - Award
Deferred Compensation Phantom Stock
2011-06-30+69→ 2,733 total→ Common Stock $.10 Par Value (69 underlying) - Small Acquisition
Common Stock $.10 Par Value
2011-06-30+1,066→ 11,875 total(indirect: 401 (k))
Holdings
- 39
Stock Option SWS Stock Option Plan
Exercise: $17.37From: 2000-08-23Exp: 2009-08-21→ Common Stock $.10 Par Value (39 underlying) - 9,127
Stock Option SWS Stock Option Plan
Exercise: $15.59From: 2001-08-24Exp: 2010-08-22→ Common Stock $.10 Par Value (9,127 underlying) - 9,219
Stock Option SWS Stock Option Plan
Exercise: $10.30From: 2002-09-10Exp: 2011-09-08→ Common Stock $.10 Par Value (9,219 underlying) - 11,250
Stock Option SWS Stock Option Plan
Exercise: $8.95From: 2003-08-22Exp: 2012-08-19→ Common Stock $.10 Par Value (11,250 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.