0001225208-13-024019.txt : 20131121
0001225208-13-024019.hdr.sgml : 20131121
20131121170136
ACCESSION NUMBER: 0001225208-13-024019
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20131121
FILED AS OF DATE: 20131121
DATE AS OF CHANGE: 20131121
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: 0630
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CRANDALL J TAYLOR
CENTRAL INDEX KEY: 0000911380
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-19483
FILM NUMBER: 131235953
BUSINESS ADDRESS:
STREET 1: 2775 SAND HILL RD
STREET 2: SUITE 220
CITY: MENLO PARK
STATE: CA
ZIP: 94025
BUSINESS PHONE: 6502340517
MAIL ADDRESS:
STREET 1: 2775 SAND HILL RD
STREET 2: SUITE 220
CITY: MENLO PARK
STATE: CA
ZIP: 94025
4
1
doc4.xml
X0306
4
2013-11-21
0000878520
SWS GROUP INC
SWS
0000911380
CRANDALL J TAYLOR
1201 ELM STREET
SUITE 3500
DALLAS
TX
75270
1
Common Stock $.10 Par Value
2013-11-21
4
G
0
7231.0000
0
D
5963.0000
D
Mr. Crandall is a Managing Partner of Oak Hill Capital Management, LLC ("OHCM"). Pursuant to the policies of OHCM and its affiliates and the investment funds it advises, the Reporting Person held the reported securities for the benefit of OHCM and, upon the vesting of the reported securities, assigned all economic, pecuniary and voting rights to OHCM for no consideration. The Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the beneficial owner of any securities covered by this statement. The Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities.
Allen R. Tubb, Power of Attorney
2013-11-21