4//SEC Filing
HOLDGES STACY M 4
Accession 0001225208-11-020840
CIK 0000878520other
Filed
Aug 28, 8:00 PM ET
Accepted
Aug 29, 12:29 PM ET
Size
13.8 KB
Accession
0001225208-11-020840
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.
Documents
Issuer
SWS GROUP INC
CIK 0000878520
Entity typeother
Related Parties
1- filerCIK 0001249618
Filing Metadata
- Form type
- 4
- Filed
- Aug 28, 8:00 PM ET
- Accepted
- Aug 29, 12:29 PM ET
- Size
- 13.8 KB