0001225208-11-025402.txt : 20111128 0001225208-11-025402.hdr.sgml : 20111128 20111128170826 ACCESSION NUMBER: 0001225208-11-025402 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111123 FILED AS OF DATE: 20111128 DATE AS OF CHANGE: 20111128 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FORD GERALD J CENTRAL INDEX KEY: 0001021572 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19483 FILM NUMBER: 111229008 MAIL ADDRESS: STREET 1: 200 CRESCENT CT STE 1350 CITY: DALLAS STATE: TX ZIP: 75201 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SWS GROUP INC CENTRAL INDEX KEY: 0000878520 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 752040825 STATE OF INCORPORATION: DE FISCAL YEAR END: 0624 BUSINESS ADDRESS: STREET 1: SUITE 3500 STREET 2: 1201 ELM STREET CITY: DALLAS STATE: TX ZIP: 75270 BUSINESS PHONE: 2146511800 MAIL ADDRESS: STREET 1: SUITE 3500 STREET 2: 1201 ELM STREET CITY: DALLAS STATE: TX ZIP: 75270 FORMER COMPANY: FORMER CONFORMED NAME: SOUTHWEST SECURITIES GROUP INC DATE OF NAME CHANGE: 19930328 4 1 doc4.xml X0304 4 2011-11-23 0000878520 SWS GROUP INC SWS 0001021572 FORD GERALD J 1201 ELM STREET SUITE 3500 DALLAS TX 75270 1 Common Stock $.10 Par Value 2011-11-23 4 P 0 90342.0000 5.3194 A 1412242.0000 I By Hilltop Holdings Inc. Common Stock $.10 Par Value 2011-11-25 4 P 0 63145.0000 5.3522 A 1475387.0000 I By Hilltop Holdings Inc. Common Stock $.10 Par Value 6731.0000 D The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.16 to $5.50, inclusive. The reporting person undertakes to provide SWS Group, Inc., any security holder of SWS Group, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth. Shares of common stock are held by Hilltop Holdings Inc. of which Mr. Ford is Chairman of the Board and a 26.6% beneficial owner. Mr. Ford disclaims beneficial ownership of the shares of common stock, except to the extent of his pecuniary interest therein. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.25 to $5.49, inclusive. The reporting person undertakes to provide SWS Group, Inc., any security holder of SWS Group, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth. Allen R. Tubb, Power of Attorney 2011-11-28