LEVENTHAL LAURA 4
4 · SWS GROUP INC · Filed Aug 16, 2012
Insider Transaction Report
Form 4
LEVENTHAL LAURA
Controller
Transactions
- Purchase
Deferred Compensation Phantom Stock
2012-08-15$5.96/sh+1,090.6$6,500→ 2,399.6 total→ Common Stock $.10 Par Value (1,090.6 underlying)
Holdings
- 12,576
Common Stock $.10 Par Value
- 5,577
Stock Option SWS Stock Option Plan
Exercise: $17.37From: 2000-08-23Exp: 2009-08-21→ Common Stock $.10 Par Value (5,577 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) - 7,500
Stock Option SWS Stock Option Plan
Exercise: $8.95From: 2003-08-22Exp: 2012-08-19→ Common Stock $.10 Par Value (7,500 underlying) - 5,070
Stock Option SWS Stock Option Plan
Exercise: $15.59From: 2001-08-24Exp: 2010-08-22→ Common Stock $.10 Par Value (5,070 underlying)
Footnotes (1)
- [F1]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.