4//SEC Filing
THOMPSON W NORMAN 4
Accession 0001225208-11-020836
CIK 0000878520other
Filed
Aug 25, 8:00 PM ET
Accepted
Aug 26, 8:51 PM ET
Size
15.0 KB
Accession
0001225208-11-020836
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.
Documents
Issuer
SWS GROUP INC
CIK 0000878520
Entity typeother
Related Parties
1- filerCIK 0001249611
Filing Metadata
- Form type
- 4
- Filed
- Aug 25, 8:00 PM ET
- Accepted
- Aug 26, 8:51 PM ET
- Size
- 15.0 KB