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