4//SEC Filing
LEVENTHAL LAURA 4
Accession 0001225208-12-018027
CIK 0000878520other
Filed
Aug 15, 8:00 PM ET
Accepted
Aug 16, 7:06 PM ET
Size
10.9 KB
Accession
0001225208-12-018027
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.
Documents
Issuer
SWS GROUP INC
CIK 0000878520
Entity typeother
Related Parties
1- filerCIK 0001251724
Filing Metadata
- Form type
- 4
- Filed
- Aug 15, 8:00 PM ET
- Accepted
- Aug 16, 7:06 PM ET
- Size
- 10.9 KB