X0306 4 2014-09-26 0 0000878520 SWS GROUP INC SWS 0001450616 OHCP MGP III, LTD. C/O OAK HILL CAPITAL MANAGEMENT, LLC 65 EAST 55TH STREET, 32ND FLOOR NEW YORK NY 10022 0 0 1 0 0001417142 Oak Hill Capital Partners III LP C/O OAK HILL CAPITAL MANAGEMENT, LLC 65 EAST 55TH STREET, 32ND FLOOR NEW YORK NY 10022 0 0 1 0 0001417144 Oak Hill Capital Management Partners III LP C/O OAK HILL CAPITAL MANAGEMENT, LLC 65 EAST 55TH STREET, 32ND FLOOR NEW YORK NY 10022 0 0 1 0 0001450620 OHCP GenPar III, L.P. C/O OAK HILL CAPITAL MANAGEMENT, LLC 65 EAST 55TH STREET, 32ND FLOOR NEW YORK NY 10022 0 0 1 0 0001450619 OHCP MGP PARTNERS III, L.P. C/O OAK HILL CAPITAL MANAGEMENT, LLC 65 EAST 55TH STREET, 32ND FLOOR NEW YORK NY 10022 0 0 1 0 Common Stock 2014-09-26 4 X 0 6314361 5.75 A 6314361 I See footnotes Common Stock 2014-09-26 4 X 0 207378 5.75 A 207378 I See footnotes Warrant (right to buy) 5.75 2014-09-26 4 X 0 6314361 0 D 2011-07-29 2016-07-29 Common Stock 6314361 2104787 I See footnotes Warrant (right to buy) 5.75 2014-09-26 4 X 0 207378 0 D 2011-07-29 2016-07-29 Common Stock 207378 69126 I See footnotes These securities are held by Oak Hill Capital Partners III, L.P. These securities are held by Oak Hill Capital Management Partners III, L.P. The general partner of Oak Hill Capital Partners III, L.P. and Oak Hill Capital Management Partners III, L.P. is OHCP GenPar III, L.P. The general partner of OHCP GenPar III, L.P. is OHCP MGP Partners III, L.P. The general partner of OHCP MGP Partners III, L.P. is OHCP MGP III, Ltd. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are beneficial owners of any securities reported herein. The exercise price of the warrants were paid through the automatic paying down of loans owed by the Issuer to the holder in an aggregate amount of $36,307,575.75, as required by the terms of the warrants. The exercise price of the warrants were paid through the automatic paying down of loans owed by the Issuer to the holder in an aggregate amount of $1,192,423.50, as required by the terms of the warrants. Exhibit 99.1 - Additional Signatures By: /s/ John Monsky; Title: Vice President 2014-09-29