HOLDGES STACY M 4
4 · SWS GROUP INC · Filed Aug 29, 2011
Insider Transaction Report
Form 4
HOLDGES STACY M
Executive Vice President
Transactions
- Small Acquisition
Common Stock $.10 Par Value
2011-06-30+311→ 6,310 total(indirect: 401 (k)) - Award
Deferred Compensation Phantom Stock
2011-06-30+116→ 4,615 total→ Common Stock $.10 Par Value (116 underlying) - Tax Payment
Common Stock $.10 Par Value
2011-08-24−201→ 12,071 total - Tax Payment
Common Stock $.10 Par Value
2011-08-25−224→ 11,847 total
Holdings
- 6,750
Stock Option SWS Stock Option Plan
Exercise: $8.95From: 2003-08-22Exp: 2012-08-19→ Common Stock $.10 Par Value (6,750 underlying) - 8,296.5
Stock Option SWS Stock Option Plan
Exercise: $10.30From: 2002-09-10Exp: 2011-09-08→ Common Stock $.10 Par Value (8,296.5 underlying) - 6,084
Stock Option SWS Stock Option Plan
Exercise: $15.91From: 2001-08-24Exp: 2010-08-22→ Common Stock $.10 Par Value (6,084 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.