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| CIK | 878520 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Sws Group Inc
SEC Filings (Chronological Order)
Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.
| February 17, 2015 |
SWS / Sws Group Inc / HIGHLAND CAPITAL MANAGEMENT LP - SC 13G/A Passive Investment SC 13G/A 1 d871527dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1) SWS Group, Inc. (Name of Issuer) Common Stock, par value $0.10 per share (Ti |
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| February 17, 2015 |
EX-99.1 2 d871527dex991.htm EX-99.1 EXHIBIT 99-1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the Common Stock, par value $0.10 per share, of SWS Group, Inc., and further agree |
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| February 2, 2015 |
SWS / Sws Group Inc / BlackRock Inc. Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 6) SWS GROUP INC - (Name of Issuer) Common Stock - (Title of Class of Securities) 78503N107 - (CUSIP Number) December 31, 2014 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is file |
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| January 15, 2015 |
SWS / Sws Group Inc 15-12G - - 15-12G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 000-19483 Hilltop Securities Holdings LLC (Exact name of registrant as speci |
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| January 5, 2015 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on January 16, 2015, pursuant to the provisions of Rule 12d2-2 (a). |
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| January 2, 2015 |
SWS / Sws Group Inc / Hilltop Holdings Inc. - AMENDMENT Activist Investment SC 13D/A 1 a14-269181sc13da.htm AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6) Hilltop Securities Holdings LLC (successor to SWS Group, Inc.) (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 78503N107 (CUSIP Number) Corey Prestidge Hilltop Holdings Inc. |
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| January 2, 2015 |
SWS / Sws Group Inc / OHCP MGP III, LTD. - SC 13D/A Activist Investment SC 13D/A 1 v397810sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* SWS Group, Inc. (Name of Issuer) Common Stock, $0.10 par value[*] (Title of Class of Securities) 78503N107 (CUSIP Number) Oak Hill Capital Management, LLC 65 East 55th Street, 32nd Floor, New York, NY 10022 Attention |
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| January 2, 2015 |
SWS / Sws Group Inc S-8 POS - - POST-EFFECTIVE AMENDMENT TO A S-8 REGISTRATION STATEMENT S-8 POS 1 a14-269213s8pos.htm POST-EFFECTIVE AMENDMENT TO A S-8 REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on January 2, 2015 Registration No. 333-34338 Registration No. 333-111603 Registration No. 333-121752 Registration No. 333-153456 Registration No. 333-185088 Registration No. 333-187066 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 PO |
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| January 2, 2015 |
SWS / Sws Group Inc POS AM - - POST-EFFECTIVE AMENDMENT NOT AUTOMATICALLY EFFECTIVE UPON FILING As filed with the Securities and Exchange Commission on January 2, 2015 Registration No. |
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| January 2, 2015 |
SWS / Sws Group Inc S-8 POS - - POST-EFFECTIVE AMENDMENT TO A S-8 REGISTRATION STATEMENT S-8 POS 1 a14-269212s8pos.htm POST-EFFECTIVE AMENDMENT TO A S-8 REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on January 2, 2015 Registration No. 333-34338 Registration No. 333-111603 Registration No. 333-121752 Registration No. 333-153456 Registration No. 333-185088 Registration No. 333-187066 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 PO |
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| January 2, 2015 |
SWS / Sws Group Inc S-8 POS - - POST-EFFECTIVE AMENDMENT TO A S-8 REGISTRATION STATEMENT S-8 POS 1 a14-269216s8pos.htm POST-EFFECTIVE AMENDMENT TO A S-8 REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on January 2, 2015 Registration No. 333-34338 Registration No. 333-111603 Registration No. 333-121752 Registration No. 333-153456 Registration No. 333-185088 Registration No. 333-187066 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 PO |
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| January 2, 2015 |
SWS / Sws Group Inc S-8 POS - - POST-EFFECTIVE AMENDMENT TO A S-8 REGISTRATION STATEMENT S-8 POS 1 a14-269215s8pos.htm POST-EFFECTIVE AMENDMENT TO A S-8 REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on January 2, 2015 Registration No. 333-34338 Registration No. 333-111603 Registration No. 333-121752 Registration No. 333-153456 Registration No. 333-185088 Registration No. 333-187066 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 PO |
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| January 2, 2015 |
SWS / Sws Group Inc S-8 POS - - POST-EFFECTIVE AMENDMENT TO A S-8 REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on January 2, 2015 Registration No. |
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| January 2, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) January 1, 2015 Hilltop Securities Holdings LLC (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Co |
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| January 2, 2015 |
SWS / Sws Group Inc S-8 POS - - POST-EFFECTIVE AMENDMENT TO A S-8 REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on January 2, 2015 Registration No. |
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| January 2, 2015 |
SWS / Sws Group Inc RW - - REGISTRATION WITHDRAWAL REQUEST Hilltop Securities Holdings LLC 1201 Elm Street, Suite 3500 Dallas, Texas 75270 January 2, 2015 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street N. |
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| January 2, 2015 |
SWS / Sws Group Inc POS AM - - POST-EFFECTIVE AMENDMENT NOT AUTOMATICALLY EFFECTIVE UPON FILING As filed with the Securities and Exchange Commission on January 2, 2015 Registration No. |
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| January 2, 2015 |
SWS / Sws Group Inc POS AM - - POST-EFFECTIVE AMENDMENT NOT AUTOMATICALLY EFFECTIVE UPON FILING As filed with the Securities and Exchange Commission on January 2, 2015 Registration No. |
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| December 16, 2014 |
Hilltop Holdings and SWS Group Announce Expected Closing Date for Pending Merger EX-99.1 2 d839017dex991.htm EX-99.1 Exhibit 99.1 Hilltop Holdings and SWS Group Announce Expected Closing Date for Pending Merger DALLAS, December 16, 2014 – SWS Group, Inc. (NYSE: SWS) (“SWS”) and Hilltop Holdings Inc. (NYSE: HTH) (“Hilltop”) today jointly announced the receipt of all regulatory approvals required to proceed with the merger of SWS with and into a subsidiary of Hilltop. The compan |
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| December 16, 2014 |
Financial Statements and Exhibits, Other Events 8-K 1 d839017d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) December 16, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorpo |
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| November 21, 2014 |
Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) November 21, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission F |
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| November 21, 2014 |
SWS Stockholders Approve Merger with Hilltop Holdings Inc. EX-99.1 Exhibit 99.1 SWS Stockholders Approve Merger with Hilltop Holdings Inc. DALLAS, November 21, 2014 – SWS Group, Inc. (NYSE: SWS) (“SWS” or the “Company”) announced that, at the Company’s special meeting of stockholders held today, a majority of the outstanding shares of SWS common stock voted to approve the adoption of the merger agreement with Hilltop Holdings Inc. (“Hilltop”). The transac |
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| November 14, 2014 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) November 10, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission F |
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| November 14, 2014 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 13, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission F |
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| November 14, 2014 |
TRANSITION AGREEMENT AND RELEASE EX-10.1 Exhibit 10.1 TRANSITION AGREEMENT AND RELEASE This Transition Agreement and Release (“Agreement”) is entered into by Richard H. Litton (“Executive”) and SWS Group, Inc., (the “Company”) on November 14, 2014. The Company and Executive are referred to as the “Parties.” WHEREAS, Richard H. Litton, Executive Vice President of the Company, has submitted his resignation, effective three months a |
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| November 14, 2014 |
SWS / Sws Group Inc 425 - Merger Prospectus - 8-K 425 1 d821794d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 13, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorpo |
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| November 14, 2014 |
TRANSITION AGREEMENT AND RELEASE EX-10.1 Exhibit 10.1 TRANSITION AGREEMENT AND RELEASE This Transition Agreement and Release (“Agreement”) is entered into by Richard H. Litton (“Executive”) and SWS Group, Inc., (the “Company”) on November 14, 2014. The Company and Executive are referred to as the “Parties.” WHEREAS, Richard H. Litton, Executive Vice President of the Company, has submitted his resignation, effective three months a |
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| November 14, 2014 |
SWS / Sws Group Inc 425 - Merger Prospectus - 8-K 425 1 d821757d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) November 10, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorpo |
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| November 5, 2014 |
SWS Group, Inc. Reports Financial Results for First Quarter of Fiscal 2015 EX-99.1 Exhibit 99.1 SWS Group, Inc. Reports Financial Results for First Quarter of Fiscal 2015 DALLAS, November 5, 2014 – SWS Group, Inc. (NYSE: SWS) (“SWS” or the “Company”) today reported a net loss of $307,000, or $0.01 per diluted share, for its first quarter of fiscal 2015 on net revenues of $61.5 million, as compared to net income of $323,000, or $0.01 per diluted share, on net revenues of |
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| November 5, 2014 |
FILED BY HILLTOP HOLDINGS INC. PURSUANT TO RULE 425 UNDER THE SECURITIES ACT OF 1933 SUBJECT COMPANY: SWS GROUP, INC. REGISTRATION STATEMENT NO. 333-196367 [Excerpts of transcript of Q3 2014 Hilltop Holdings Inc. Earnings Conference Call, November 4, 2014 / 5:30 PM Eastern Time] - Jeremy B. Ford / Hilltop Holdings Inc.: On October 2, 2014, we exercised 100% of our warrant and now own 21% of SWS ou |
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| November 5, 2014 |
20140930 Q1 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| November 5, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 5, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission Fi |
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| November 4, 2014 |
FILED BY HILLTOP HOLDINGS INC. PURSUANT TO RULE 425 UNDER THE SECURITIES ACT OF 1933 SUBJECT COMPANY: SWS GROUP, INC. REGISTRATION STATEMENT NO. 333-196367 The information below is excerpted from the press release of Hilltop Holdings Inc. dated November 4, 2014 announcing its Third Quarter 2014 financial results. - This quarter marked the one year anniversary of the FNB Transaction, an important |
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| October 31, 2014 |
425 1 a14-234791425.htm PROSPECTUSES AND COMMUNICATIONS RE: BUSINESS COMBINATION TRANSACTIONS FILED BY HILLTOP HOLDINGS INC. PURSUANT TO RULE 425 UNDER THE SECURITIES ACT OF 1933 SUBJECT COMPANY: SWS GROUP, INC. REGISTRATION STATEMENT NO. 333-196367 The following updated presentation is being used by management of SWS Group, Inc. in investor meetings commencing on the date of this filing; members |
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| October 31, 2014 |
SWS / Sws Group Inc 425 - Merger Prospectus - 425 425 Merger with Hilltop Holdings Inc. October 2014 1 Filed by SWS Group, Inc. Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6(b) of the Securities Exchange Act of 1934 Subject Company: Hilltop Holdings, Inc. (Commission File No. for Registration Statement on Form S-4: 333-196367) The following updated presentation is being used by management of SWS Group, |
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| October 30, 2014 |
SWS Group, Inc. Announces First Quarter Fiscal 2015 Earnings Date EX-99.1 Exhibit 99.1 SWS Group, Inc. Announces First Quarter Fiscal 2015 Earnings Date DALLAS, October 30, 2014—SWS Group, Inc. (NYSE: SWS) (“SWS Group” or the “Company”) announced today that it will release financial results for its first quarter of fiscal year 2015 at 8:00 a.m. Eastern (7:00 a.m. Central) on Wednesday, November 5, 2014. Given the timing relative to the date of the special meetin |
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| October 30, 2014 |
Financial Statements and Exhibits, Other Events 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) October 29, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission Fi |
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| October 29, 2014 |
FILED BY HILLTOP HOLDINGS INC. PURSUANT TO RULE 425 UNDER THE SECURITIES ACT OF 1933 SUBJECT COMPANY: SWS GROUP, INC. REGISTRATION STATEMENT NO. 333-196367 The following presentation is being used by management of SWS Group, Inc. in investor meetings commencing on the date of this filing; members of management of Hilltop Holdings Inc. may participate in some or all of these meetings. Merger with H |
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| October 29, 2014 |
SWS / Sws Group Inc 425 - Merger Prospectus - 425 425 1 d813112d425.htm 425 Merger with Hilltop Holdings Inc. October 2014 1 Filed by SWS Group, Inc. Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6(b) of the Securities Exchange Act of 1934 Subject Company: Hilltop Holdings, Inc. (Commission File No. for Registration Statement on Form S-4: 333-196367) The following presentation is being made available to |
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| October 21, 2014 |
SWS / Sws Group Inc / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) SWS Group Inc. (Name of Issuer) Common Stock, $0.10 par value (Title of Class of Securities) 78503N107 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Authoriz |
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| October 15, 2014 |
SWS / Sws Group Inc 425 - Merger Prospectus - 8-K 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) October 15, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission Fi |
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| October 15, 2014 |
EX-99.1 Exhibit 99.1 SWS Group, Inc. Sends Letter to Stockholders Files Definitive Proxy Materials Urging Stockholders to Vote FOR the Adoption of the Merger Agreement with Hilltop Holdings Inc. SWS Board Believes Hilltop Merger Delivers Compelling and Immediate Cash Value; Allows Stockholders to Participate in Significant Upside Potential of Larger, More Diversified Organization DALLAS, October 1 |
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| October 15, 2014 |
Financial Statements and Exhibits, Other Events 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) October 15, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission Fi |
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| October 15, 2014 |
Exhibit 99.1 SWS Group, Inc. Sends Letter to Stockholders Files Definitive Proxy Materials Urging Stockholders to Vote FOR the Adoption of the Merger Agreement with Hilltop Holdings Inc. SWS Board Believes Hilltop Merger Delivers Compelling and Immediate Cash Value; Allows Stockholders to Participate in Significant Upside Potential of Larger, More Diversified Organization DALLAS, October 15, 2014 |
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| October 15, 2014 |
FILED BY HILLTOP HOLDINGS INC. PURSUANT TO RULE 425 UNDER THE SECURITIES ACT OF 1933 SUBJECT COMPANY: SWS GROUP, INC. REGISTRATION STATEMENT NO. 333-196367 The following communication was distributed by email on October 15, 2014 to employees of First Southwest Company, an indirect wholly owned subsidiary of Hilltop Holdings Inc. To: All Employees From: Hill Feinberg Date: October 15th, 2014 RE: SW |
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| October 15, 2014 |
October 15, 2014 Via E-mail J. Michael Edge Interim Chief Financial Officer SWS Group, Inc. 1201 Elm Street, Suite 3500 Dallas, Texas 75270 Re: SWS Group, Inc. Form 10-K for the Fiscal Year Ended June 30, 2014 Filed September 5, 2014 File No. 000-19483 Dear Mr. Edge: We have completed our review of your filing. We remind you that our comments or changes to disclosure in response to our comments do |
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| October 15, 2014 |
SWS / Sws Group Inc 425 - Merger Prospectus - 425 425 Filed by SWS Group, Inc. Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6(b) of the Securities Exchange Act of 1934 Subject Company: Hilltop Holdings Inc. (Commission File No. for Registration Statement on Form S-4: 333-196367) The following electronic communication was sent to all employees of SWS Group, Inc. and its subsidiaries on October 15, 2014: |
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| October 14, 2014 |
SWS / Sws Group Inc DEFM14A - - DEFM14A DEFM14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| October 6, 2014 |
8-K 1 d802653d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) October 6, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of inco |
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| October 6, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 4)1 SWS Group, Inc. (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 78503N107 (CUSIP Number) JEFFREY E. EBERWEIN LO |
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| October 6, 2014 |
SWS / Sws Group Inc 425 - Merger Prospectus - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) October 6, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commissio |
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| October 3, 2014 |
SWS / Sws Group Inc / Hilltop Holdings Inc. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5) SWS Group, Inc. (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 78503N107 (CUSIP Number) Corey Prestidge Hilltop Holdings Inc. 200 Crescent Court, Suite 1330 Dallas, Texas 75201 (214) 855-2177 (Name, Address and Tel |
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| October 2, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) October 2, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission File Nu |
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| October 2, 2014 |
SWS / Sws Group Inc 425 - Merger Prospectus - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) October 2, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commissio |
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| October 1, 2014 |
SWS / Sws Group Inc 425 - Merger Prospectus - 425 425 Filed by SWS Group, Inc. Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Hilltop Holdings Inc. (Commission File No. for Registration Statement on Form S-4: 333-196367) The following electronic communication was sent to all employees of SWS Group, Inc. and its subsidiaries on October 1, 2014: SWS |
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| October 1, 2014 |
FILED BY HILLTOP HOLDINGS INC. PURSUANT TO RULE 425 UNDER THE SECURITIES ACT OF 1933 SUBJECT COMPANY: SWS GROUP, INC. REGISTRATION STATEMENT NO. 333-196367 The following communication was distributed on October 1, 2014 to employees of First Southwest Company, an indirect wholly owned subsidiary of Hilltop Holdings Inc. To: All Employees From: Hill Feinberg Date: October 1st, 2014 RE: SWS-Hilltop T |
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| September 29, 2014 |
SWS / Sws Group Inc / OHCP MGP III, LTD. - SCHEDULE 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* SWS Group, Inc. (Name of Issuer) Common Stock, $0.10 par value* (Title of Class of Securities) 78503N107 (CUSIP Number) Oak Hill Capital Management, LLC 65 East 55th Street, 32nd Floor, New York, NY 10022 Attention: John Monsky With a copy to: Lee A. Mey |
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| September 26, 2014 |
97d15c01fdaf41a Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| September 5, 2014 |
10-K 1 sws-20140630x10k.htm 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) [ X ]ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2014 OR [ ]TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from |
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| September 5, 2014 |
SWS / Sws Group Inc 425 - Merger Prospectus - 425 Filed by SWS Group, Inc. Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Hilltop Holdings Inc. (Commission File No. for Registration Statement on Form S-4: 333-196367) The following electronic communication was sent to all employees of SWS Group, Inc. and its subsidiaries on September 5, 2014: SWS-H |
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| September 5, 2014 |
EX-99.1 2 d784837dex991.htm EX-99.1 Exhibit 99.1 SWS Group, Inc. Sets New Record Date for Special Meeting of Stockholders to Approve Merger with Hilltop Holdings Company Continues to Expect Transaction to Close before Year-end DALLAS, September 5, 2014 – SWS Group, Inc. (NYSE: SWS) (“SWS” or the “Company”) today announced that it has set a new record date of October 3, 2014 for the special meeting |
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| September 5, 2014 |
SWS GROUP, INC. 2012 RESTRICTED STOCK PLAN RESTRICTED STOCK AGREEMENT FOR EMPLOYEES (AUGUST 2014) Exhibit 10.18 SWS GROUP, INC. 2012 RESTRICTED STOCK PLAN –AWARD AGREEMENT FOR EMPLOYEES (AUGUST 2014) #86240894v6 SWS GROUP, INC. 2012 RESTRICTED STOCK PLAN RESTRICTED STOCK AGREEMENT FOR EMPLOYEES (AUGUST 2014) Grantee: Address: Number of Awarded Shares: Date of Grant: August 20, 2014 Vesting of Awarded Shares: Date No. Shares Vested % August 20, 2015 33⅓% August 20, 2016 33⅓% August 20, 2017 33⅓ |
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| September 5, 2014 |
FILED BY HILLTOP HOLDINGS INC. PURSUANT TO RULE 425 UNDER THE SECURITIES ACT OF 1933 SUBJECT COMPANY: SWS GROUP, INC. REGISTRATION STATEMENT NO. 333-196367 The following communication was distributed on September 5, 2014 to employees of First Southwest Company, an indirect wholly owned subsidiary of Hilltop Holdings Inc. To: All Employees From: Hill Feinberg Date: September 5th, 2014 RE: SWS-Hillt |
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| September 5, 2014 |
EX-21.1 4 sws-20140630ex2110001d7.htm EX-21.1 Exhibit 21.1 - Subsidiaries SWS Group, Inc. State or Other Jurisdiction of Incorporation or Organization Southwest Securities, Inc. Delaware SWS Financial Services, Inc. Texas Southwest Capital Corporation Delaware Southwest Investment Advisors, Inc. Delaware Southwest Insurance Agency, Inc. Texas Southwest Financial Insurance Agency, Inc. Oklahoma SWS |
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| September 5, 2014 |
SWS / Sws Group Inc 425 - Merger Prospectus - 425 Filed by SWS Group, Inc. Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Hilltop Holdings Inc. (Commission File No. for Registration Statement on Form S-4: 333-196367) The following is a script to be used in responding to questions concerning the new record date for the special meeting of stockholde |
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| September 5, 2014 |
EX-99.1 Exhibit 99.1 SWS Group, Inc. Sets New Record Date for Special Meeting of Stockholders to Approve Merger with Hilltop Holdings Company Continues to Expect Transaction to Close before Year-end DALLAS, September 5, 2014 – SWS Group, Inc. (NYSE: SWS) (“SWS” or the “Company”) today announced that it has set a new record date of October 3, 2014 for the special meeting of stockholders to consider |
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| September 5, 2014 |
SWS / Sws Group Inc 425 - Merger Prospectus - 8-K 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported): September 5, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission |
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| September 5, 2014 |
Financial Statements and Exhibits, Other Events 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported): September 5, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission |
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| September 5, 2014 |
SWS GROUP, INC. 2012 RESTRICTED STOCK PLAN Exhibit 10.17 SWS GROUP, INC. 2012 RESTRICTED STOCK PLAN The SWS Group, Inc. 2012 Restricted Stock Plan (the “Plan”) was adopted by the Board of Directors of SWS Group, Inc., a Delaware corporation (the “Company”), effective as of August 29, 2012, and amended August 20, 2014. Article 1 PURPOSE The purpose of the Plan is to attract and retain the services of key Employees, key Contractors, and Outs |
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| September 3, 2014 |
SWS / Sws Group Inc 425 - Merger Prospectus - 425 425 Filed by SWS Group, Inc. Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Hilltop Holdings, Inc. (Commission File No. for Registration Statement on Form S-4: 333-196367) The following transcript transcribes SWS Group, Inc.’s Fourth Quarter Fiscal 2014 Earnings Call held on September 3, 2014. Corp |
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| September 3, 2014 |
SWS / Sws Group Inc 425 - Merger Prospectus - 425 425 Fourth Quarter Fiscal 2014 SWS Group Conference Call September 3, 2014 1 Filed by SWS Group, Inc. |
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| September 2, 2014 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 2, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission F |
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| September 2, 2014 |
Exhibit 99.1 SWS Group, Inc. Reports Fourth Quarter and Fiscal 2014 Financial Results Remains on Track to Complete Merger with Hilltop Holdings in Fourth Quarter of Calendar Year 2014 DALLAS, September 2, 2014 ? SWS Group, Inc. (NYSE: SWS) (?SWS? or the ?Company?) today reported a net loss of $304,000 for its fourth quarter of fiscal 2014, or $0.01 per diluted share, on net revenues of $63.2 milli |
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| September 2, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 3)1 SWS Group, Inc. (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 78503N107 (CUSIP Number) JEFFREY E. EBERWEIN LO |
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| August 26, 2014 |
SC 13D/A 1 sc13da20948200408222014.htm AMENDMENT NO. 2 TO THE SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 2)1 SWS Group, Inc. (Name of Issuer) Common Stock, par value $0.10 per share (Ti |
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| August 21, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 1)1 SWS Group, Inc. (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 78503N107 (CUSIP Number) JEFFREY E. EBERWEIN LO |
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| August 19, 2014 |
SWS / Sws Group Inc 425 - Merger Prospectus - 425 425 Filed by SWS Group, Inc. Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Hilltop Holding, Inc. (Commission File No. for Registration Statement on Form S-4: 333-196367) The following is a script to be used in responding to questions concerning the nomination of directors by Lone Star Value Manage |
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| August 18, 2014 |
SWS / Sws Group Inc / Lone Star Value Management LLC - SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. )1 SWS Group, Inc. (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 78503N107 (CUSIP Number) JEFFREY E. EBERWEIN LON |
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| August 18, 2014 |
Exhibit 99.3 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints Jeffrey E. Eberwein the undersigned’s true and lawful attorney-in-fact to take any and all action in connection with (i) the undersigned’s beneficial ownership of, or participation in a group with respect to, securities of SWS Group, Inc., a Delaware corporation (the “Company”) directly |
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| August 18, 2014 |
EX-99.2 3 ex992to13d0948200408152014.htm FORM OF INDEMNIFICATION AGREEMENT Exhibit 99.2 LONE STAR VALUE INVESTORS, LP c/o Lone Star Value Management, LLC 53 Forest Avenue, 1st Floor Old Greenwich, Connecticut 06870 August , 2014 Re: SWS Group, Inc. Dear : Thank you for agreeing to serve as a nominee for election to the Board of Directors of SWS Group, Inc. (the “Company”) in connection with the pr |
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| August 18, 2014 |
JOINT FILING AND SOLICITATION AGREEMENT Exhibit 99.1 JOINT FILING AND SOLICITATION AGREEMENT WHEREAS, certain of the undersigned are stockholders, direct or beneficial, SWS Group, Inc., a Delaware corporation (the “Company”); WHEREAS, Lone Star Value Investors, LP, a Delaware limited partnership, Lone Star Value Co-Invest II, LP, a Delaware limited partnership, Lone Star Value Investors GP, LLC, a Delaware limited liability company, Lon |
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| August 7, 2014 |
EX-99.1 Exhibit 99.1 SWS Group, Inc. Announces Record Date for Special Meeting of Shareholders to Approve Merger with Hilltop Holdings DALLAS, August 7, 2014 – SWS Group, Inc. (NYSE: SWS) (“SWS” or the “Company”) today announced that it has established the close of business on September 5, 2014 as the record date for its special meeting of shareholders to consider and vote on, among other things, |
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| August 7, 2014 |
SWS / Sws Group Inc 425 - Merger Prospectus - 425 425 Filed by SWS Group, Inc. Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Hilltop Holdings Inc. (Commission File No. for Registration Statement on Form S-4: 333-196367) The following electronic communication was sent to all employees of SWS Group, Inc. and its subsidiaries on August 7, 2014: SWS- |
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| August 7, 2014 |
Financial Statements and Exhibits, Other Events 8-K 1 d771209d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) August 7, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incor |
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| August 7, 2014 |
FILED BY HILLTOP HOLDINGS INC. PURSUANT TO RULE 425 UNDER THE SECURITIES ACT OF 1933 SUBJECT COMPANY: SWS GROUP, INC. REGISTRATION STATEMENT NO. 333-196367 The following communication was distributed on August 7, 2014 to employees of First Southwest Company, an indirect wholly owned subsidiary of Hilltop Holdings Inc. - To: All Employees From: Hill Feinberg Date: August 7th, 2014 RE: SWS-Hilltop T |
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| August 7, 2014 |
SWS / Sws Group Inc 425 - Merger Prospectus - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) August 7, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission |
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| August 7, 2014 |
EX-99.1 Exhibit 99.1 SWS Group, Inc. Announces Record Date for Special Meeting of Shareholders to Approve Merger with Hilltop Holdings DALLAS, August 7, 2014 – SWS Group, Inc. (NYSE: SWS) (“SWS” or the “Company”) today announced that it has established the close of business on September 5, 2014 as the record date for its special meeting of shareholders to consider and vote on, among other things, |
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| July 31, 2014 |
FILED BY HILLTOP HOLDINGS INC. PURSUANT TO RULE 425 UNDER THE SECURITIES ACT OF 1933 SUBJECT COMPANY: SWS GROUP, INC. REGISTRATION STATEMENT NO. 333-196367 [Excerpts of transcript of Q2 2014 Hilltop Holdings Inc. Earnings Conference Call, July 31, 2014 / 9:00 AM Eastern Time] - Michael Rose / Raymond James: Hey, good morning guys, couple questions for you. I know you’re not going to comment on the |
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| July 31, 2014 |
FILED BY HILLTOP HOLDINGS INC. PURSUANT TO RULE 425 UNDER THE SECURITIES ACT OF 1933 SUBJECT COMPANY: SWS GROUP, INC. REGISTRATION STATEMENT NO. 333-196367 The information below is excerpted from the press release of Hilltop Holdings Inc. dated July 30, 2014 announcing its Second Quarter 2014 financial results. - “Hilltop had solid financial results for the quarter. The Bank’s performance was stro |
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| July 22, 2014 |
July 22, 2014 Via Email J. Michael Edge Interim Chief Financial Officer SWS Group, Inc. 1201 Elm Street Suite 3500 Dallas, Texas 75270 Re: SWS Group, Inc. Form 10-K for Fiscal Year Ended June 30, 2013 Filed September 6, 2013 File No. 000-19483 Dear Mr. Edge: We have completed our review of your filing. We remind you that our comments or changes to disclosure in response to our comments do not fore |
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| July 9, 2014 |
SWS / Sws Group Inc CORRESP - - CORRESP SWS GROUP, INC. 1201 ELM STREET SUITE 3500 DALLAS, TEXAS 75270 PHONE NUMBER: 214/859-1800 FAX NUMBER: 214/859-9309 July 9, 2014 VIA EDGAR Ms. Suzanne Hayes Assistant Director Division of Corporation Finance Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: SWS Group, Inc. Form 10-K for Fiscal Year Ended June 30, 2013 Filed September 5, 2013 File No. 000-19483 D |
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| June 25, 2014 |
11-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| June 24, 2014 |
June 24, 2014 Via Email J. Michael Edge Interim Chief Financial Officer SWS Group, Inc. 1201 Elm Street Suite 3500 Dallas, Texas 75270 Re: SWS Group, Inc. Form 10-K for Fiscal Year Ended June 30, 2013 Filed September 5, 2013 Response dated June 11, 2014 File No. 000-19483 Dear Mr. Edge: We have reviewed your filings and response letter and have the following comments. In some of our comments, we m |
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| June 13, 2014 |
SWS / Sws Group Inc / WHV Investments, Inc. - WHV13GA SWS 05.31.2014 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No.3 ) SWS Group, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 78503N107 (CUSIP Number) May 31, 2014 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is f |
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| June 11, 2014 |
CORRESP SWS GROUP, INC. 1201 ELM STREET SUITE 3500 DALLAS, TEXAS 75270 PHONE NUMBER: 214/859-1800 FAX NUMBER: 214/859-9309 June 11, 2014 VIA EDGAR Ms. Suzanne Hayes Assistant Director Division of Corporation Finance Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: SWS Group, Inc. Form 10-K for Fiscal Year Ended June 30, 2013 Filed September 5, 2013 File No. 000-19483 |
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| May 30, 2014 |
Merger Prospectus - PROSPECTUSES AND COMMUNICATIONS RE: BUSINESS COMBINATION TRANSACTIONS FILED BY HILLTOP HOLDINGS INC. PURSUANT TO RULE 425 UNDER THE SECURITIES ACT OF 1933 SUBJECT COMPANY: SWS GROUP, INC. REGISTRATION STATEMENT NO. 333-196367 The below communication was distributed to First Southwest employees on May 30, 2014. SWS-Hilltop Transaction Update to Employees To: All Employees From: Hill Feinberg Date: May 30th, 2014 RE: SWS-Hilltop Transaction Update Dear First Southwest |
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| May 30, 2014 |
425 Filed by SWS Group, Inc. Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Hilltop Holdings Inc. (Commission File No. for Registration Statement on Form S-4: 333-196367) The following electronic communication was sent to all employees of SWS Group, Inc. and its subsidiaries on May 30, 2014: SWS-Hi |
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| May 29, 2014 |
May 29, 2014 Via Email J. Michael Edge Interim Chief Financial Officer SWS Group, Inc. 1201 Elm Street Suite 3500 Dallas, Texas 75270 Re: SWS Group, Inc. Form 10-K for Fiscal Year Ended June 30, 2013 Filed September 5, 2013 File No. 000-19483 Dear Mr. Edge: We have reviewed your registration statement and have the following comments. In some of our comments, we may ask you to provide us with infor |
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| May 19, 2014 |
FILED BY HILLTOP HOLDINGS INC. PURSUANT TO RULE 425 UNDER THE SECURITIES ACT OF 1933 SUBJECT COMPANY: SWS GROUP, INC. COMMISSION FILE NO. 000-19483 The below communication was distributed to First Southwest employees on May 19, 2014. SWS-Hilltop Transaction Update to Employees To: All Employees From: Hill Feinberg Date: May 19th, 2014 RE: SWS-Hilltop Transaction Update Dear First Southwest Employe |
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| May 19, 2014 |
425 Filed by SWS Group, Inc. Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: SWS Group, Inc. (Commission File No.: 000-19483) The following electronic communication was sent to all employees of SWS Group, Inc. and its subsidiaries on May 19, 2014: SWS-Hilltop Transaction Update to Employees Dear SWS |
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| May 7, 2014 |
425 Filed by SWS Group, Inc. Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: SWS Group, Inc. (Commission File No.: 000-19483) The following transcript transcribes SWS Group, Inc.’s Third Quarter Fiscal 2014 Earnings Call held on May 7, 2014: Corporate Participants James H. Ross President and Chief E |
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| May 7, 2014 |
10-Q 1 sws-20140331x10q.htm 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q [ X ]QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2014 OR [ ]TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to |
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| May 7, 2014 |
425 Third Quarter Fiscal 2014 SWS Group Conference Call May 7, 2014 1 Filed by SWS Group, Inc. |
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| May 6, 2014 |
SWS Group, Inc. Reports Financial Results for Third Quarter of Fiscal 2014 Exhibit 99.1 SWS Group, Inc. Reports Financial Results for Third Quarter of Fiscal 2014 DALLAS, May 6, 2014 – SWS Group, Inc. (NYSE: SWS) (“SWS” or the “Company”) today reported a net loss of $8.8 million, or $0.27 per diluted share, for its third quarter of fiscal 2014 on net revenues of $65.7 million, as compared to a net loss of $5.7 million, or $0.17 per diluted share, on net revenues of $66.8 |
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| May 6, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) May 6, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission File Nu |
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| May 5, 2014 |
Merger Prospectus - PROSPECTUSES AND COMMUNICATIONS RE: BUSINESS COMBINATION TRANSACTIONS FILED BY HILLTOP HOLDINGS INC. PURSUANT TO RULE 425 UNDER THE SECURITIES ACT OF 1933 SUBJECT COMPANY: SWS GROUP, INC. COMMISSION FILE NO. 000-19483 The information below is excerpted from the press release of Hilltop Holdings Inc. dated May 5, 2014 announcing its First Quarter 2014 financial results. - “Hilltop was able to achieve good results in the first quarter, even as we work through costs of |
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| April 3, 2014 |
SWS Group, Inc. 1201 Elm Street, Suite 3500 Dallas, Texas 75270 Exhibit 10.1 SWS Group, Inc. 1201 Elm Street, Suite 3500 Dallas, Texas 75270 March 31, 2014 Oak Hill Capital Partners 65 East 55th Street, 32nd Floor New York, New York 10022 Ladies and Gentlemen: Reference is made to that certain Credit Agreement dated as of July 29, 2011, by and among SWS Group, Inc. (the “Borrower”), Hilltop Holdings Inc. (“Hilltop”), Oak Hill Capital Partners III, L.P. (“OHCP” |
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| April 3, 2014 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) March 31, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission |
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| April 3, 2014 |
EX-2.1 Exhibit 2.1 AGREEMENT AND PLAN OF MERGER by and among SWS GROUP, INC. HILLTOP HOLDINGS INC. and PERUNA LLC Dated as of March 31, 2014 TABLE OF CONTENTS Page ARTICLE I THE MERGER 1.1 The Merger 1 1.2 Effective Time 2 1.3 Effects of the Merger 2 1.4 Conversion of Stock 2 1.5 Bank Merger 3 1.6 Restricted Shares and Deferred Shares 4 1.7 Warrants 5 1.8 Organizational Documents of the Surviving |
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| April 3, 2014 |
EX-2.1 Exhibit 2.1 AGREEMENT AND PLAN OF MERGER by and among SWS GROUP, INC. HILLTOP HOLDINGS INC. and PERUNA LLC Dated as of March 31, 2014 TABLE OF CONTENTS Page ARTICLE I THE MERGER 1.1 The Merger 1 1.2 Effective Time 2 1.3 Effects of the Merger 2 1.4 Conversion of Stock 2 1.5 Bank Merger 3 1.6 Restricted Shares and Deferred Shares 4 1.7 Warrants 5 1.8 Organizational Documents of the Surviving |
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| April 3, 2014 |
SWS Group, Inc. 1201 Elm Street, Suite 3500 Dallas, Texas 75270 EX-10.1 Exhibit 10.1 SWS Group, Inc. 1201 Elm Street, Suite 3500 Dallas, Texas 75270 March 31, 2014 Oak Hill Capital Partners 65 East 55th Street, 32nd Floor New York, New York 10022 Ladies and Gentlemen: Reference is made to that certain Credit Agreement dated as of July 29, 2011, by and among SWS Group, Inc. (the “Borrower”), Hilltop Holdings Inc. (“Hilltop”), Oak Hill Capital Partners III, L.P. |
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| April 3, 2014 |
EXHIBIT 99.7 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned acknowledge and agree that the foregoing statement on Schedule 13D is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13D may be filed on behalf of each of the undersigned without the necessity of |
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| April 3, 2014 |
SWS Group, Inc. 1201 Elm Street, Suite 3500 Dallas, Texas 75270 EX-99.6 2 exh996.htm EXHIBIT 99.6 Exhibit 99.6 SWS Group, Inc. 1201 Elm Street, Suite 3500 Dallas, Texas 75270 March 31, 2014 Oak Hill Capital Partners 65 East 55th Street, 32nd Floor New York, New York 10022 Ladies and Gentlemen: Reference is made to that certain Credit Agreement dated as of July 29, 2011, by and among SWS Group, Inc. (the “Borrower”), Hilltop Holdings Inc. (“Hilltop”), Oak Hill |
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| April 3, 2014 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) March 31, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission |
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| April 3, 2014 |
SWS / Sws Group Inc / OAK HILL CAPITAL MANAGEMENT, LLC - SCHEDULE 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* SWS Group, Inc. (Name of Issuer) Common Stock, $0.10 par value (Title of Class of Securities) 78503N107 (CUSIP Number) Oak Hill Capital Management, LLC 65 East 55th Street, 32nd Floor, New York, NY 10022 Attention: John Monsky With a copy to: Lee A. Meye |
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| April 1, 2014 |
Hilltop Holdings Inc. Announces Agreement to Acquire SWS Group, Inc. Exhibit 99.1 FOR IMMEDIATE RELEASE Investor Relations Contacts: Isabell Novakov, PlainsCapital Corporation 214-252-4029 [email protected] J. Michael Edge, SWS Group, Inc. 214-859-9343 [email protected] Media Contacts: Carol Towne, PlainsCapital Corporation 214-252-4142 [email protected] Ben Brooks, SWS Group, Inc. 214-859-6351 [email protected] Hilltop Holdings Inc. Announces Agreemen |
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| April 1, 2014 |
Financial Statements and Exhibits, Other Events - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) March 31, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission |
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| April 1, 2014 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) March 31, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission |
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| April 1, 2014 |
Hilltop Holdings Inc. Announces Agreement to Acquire SWS Group, Inc. Exhibit 99.1 FOR IMMEDIATE RELEASE Investor Relations Contacts: Isabell Novakov, PlainsCapital Corporation 214-252-4029 [email protected] J. Michael Edge, SWS Group, Inc. 214-859-9343 [email protected] Media Contacts: Carol Towne, PlainsCapital Corporation 214-252-4142 [email protected] Ben Brooks, SWS Group, Inc. 214-859-6351 [email protected] Hilltop Holdings Inc. Announces Agreemen |
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| April 1, 2014 |
Hilltop Holdings Inc. Announces Agreement to Acquire SWS Group, Inc. EX-99.1 2 d704430dex991.htm EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Investor Relations Contacts: Isabell Novakov, PlainsCapital Corporation 214-252-4029 [email protected] J. Michael Edge, SWS Group, Inc. 214-859-9343 [email protected] Media Contacts: Carol Towne, PlainsCapital Corporation 214-252-4142 [email protected] Ben Brooks, SWS Group, Inc. 214-859-6351 [email protected] Hill |
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| April 1, 2014 |
Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among SWS GROUP, INC. HILLTOP HOLDINGS INC. and PERUNA LLC Dated as of March 31, 2014 TABLE OF CONTENTS Page ARTICLE I THE MERGER 1.1 The Merger 1 1.2 Effective Time 2 1.3 Effects of the Merger 2 1.4 Conversion of Stock 2 1.5 Bank Merger 3 1.6 Restricted Shares and Deferred Shares 4 1.7 Warrants 5 1.8 Organizational Documents of the |
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| April 1, 2014 |
HILLTOP HOLDINGS INC. ARTICLES OF AMENDMENT Exhibit 3.1 HILLTOP HOLDINGS INC. ARTICLES OF AMENDMENT Hilltop Holdings Inc., a Maryland corporation (the “Corporation”), hereby certifies to the State Department of Assessments and Taxation of Maryland that: FIRST: The charter of the Corporation (the “Charter”) is hereby amended by deleting therefrom in their entirety the first two sentences of Section 6.1 of Article VI and inserting in lieu the |
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| April 1, 2014 |
Merger Prospectus - CURRENT REPORT OF MATERIAL EVENTS OR CORPORATE CHANGES UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 31, 2014 Hilltop Holdings Inc. (Exact name of registrant as specified in its charter) Maryland 1-31987 84-1477939 (State or other jurisdiction of incorporation) (Commission File |
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| April 1, 2014 |
SWS / Sws Group Inc / Hilltop Holdings Inc. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4) SWS Group, Inc. (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 78503N107 (CUSIP Number) Corey Prestidge Hilltop Holdings Inc. 200 Crescent Court, Suite 1330 Dallas, Texas 75201 (214) 855-2177 (Name, Address and Tel |
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| April 1, 2014 |
425 Filed by SWS Group, Inc. Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: SWS Group, Inc. (Commission File No.: 000-19483) The following electronic communication was sent to all employees of SWS Group, Inc. and its subsidiaries on April 1, 2014: Dear SWS employees, I am writing to share some impo |
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| March 6, 2014 |
SWS / Sws Group Inc / GAMCO INVESTORS, INC. ET AL Activist Investment SC 13D 1 sws00.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 SWS Group Inc. (Name of Issuer) Common Stock, $0.10 par value (Title of Class of Securities) 78503N107 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Authori |
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| February 28, 2014 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) February 27, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commiss |
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| February 28, 2014 |
EX-3.2 2 d683633dex32.htm EX-3.2 Exhibit 3.2 RESTATED BY-LAWS OF SWS GROUP, INC. (A DELAWARE CORPORATION) February 27, 2014 TABLE OF CONTENTS ARTICLE I 1 OFFICES Section 1. Registered Office 1 Section 2. Other Offices 1 ARTICLE II 1 MEETINGS OF STOCKHOLDERS Section 1. Time and Place of Meetings 1 Section 2. Annual Meetings 1 Section 3. Notice of Annual Meetings 1 Section 4. Special Meetings 1 Sect |
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| February 20, 2014 |
Financial Statements and Exhibits, Other Events - 8-K 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THESECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) February 18, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission Fi |
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| February 20, 2014 |
SWS Group Confirms Receipt of Unsolicited Acquisition Proposal from Esposito Global EX-99.1 Exhibit 99.1 SWS Group Confirms Receipt of Unsolicited Acquisition Proposal from Esposito Global DALLAS, February 18, 2014 – The Special Committee of the Board of Directors of SWS Group, Inc. (NYSE: SWS) today confirmed that it received an unsolicited acquisition proposal from Esposito Global to acquire all the outstanding common shares of SWS Group for $8.00 per share in cash. As previous |
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| February 18, 2014 |
SWS / Sws Group Inc / WHV Investments, Inc. - WHV 13GA SWS Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No.2 ) SWS Group, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 78503N107 (CUSIP Number) December 31, 2013 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| February 14, 2014 |
EX-99.1 2 d676242dex991.htm EX-99.1 EXHIBIT 99-1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the Common Stock, par value $0.10 per share, of SWS Group, Inc., and further agree |
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| February 14, 2014 |
SWS / Sws Group Inc / HIGHLAND CAPITAL MANAGEMENT LP - SC 13G Passive Investment SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 SWS Group, Inc. |
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| February 6, 2014 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q [ X ]QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2013 OR [ ]TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-19 |
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| February 5, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) February 5, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commissi |
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| February 5, 2014 |
SWS Group, Inc. Reports Financial Results for Second Quarter of Fiscal 2014 EX-99.1 Exhibit 99.1 SWS Group, Inc. Reports Financial Results for Second Quarter of Fiscal 2014 DALLAS, February 5, 2014 – SWS Group, Inc. (NYSE: SWS) (“SWS” or the “Company”) today reported net income of $1.7 million, or $0.05 per diluted share, for its second quarter of fiscal 2014 on net revenues of $68.5 million, as compared to net income of $10.4 million, or $0.09 per diluted share, on net r |
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| February 4, 2014 |
SWS Group Forms Special Committee to Review Hilltop Holdings’ Unsolicited Acquisition Proposal EX-99.1 Exhibit 99.1 SWS Group Forms Special Committee to Review Hilltop Holdings’ Unsolicited Acquisition Proposal DALLAS, February 3, 2014 – SWS Group, Inc. (NYSE: SWS) today announced that its Board of Directors has formed a Special Committee, comprised of independent directors not affiliated with Hilltop Holdings Inc. (NYSE: HTH) or Oak Hill Capital Partners, to review Hilltop’s unsolicited ac |
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| February 4, 2014 |
Financial Statements and Exhibits, Other Events - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) February 3, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commissi |
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| January 30, 2014 |
SWS / Sws Group Inc / BlackRock Inc. Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 5) SWS GROUP INC. - (Name of Issuer) Common Stock - (Title of Class of Securities) 78503N107 - (CUSIP Number) December 31, 2013 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is fil |
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| January 13, 2014 |
EX-99.1 Exhibit 99.1 SWS Group Confirms Receipt of Unsolicited Acquisition Proposal from Hilltop Holdings SWS Stockholders Advised to Take No Action at This Time DALLAS, January 10, 2014 – SWS Group, Inc. (NYSE: SWS) today confirmed that it received an unsolicited acquisition proposal from Hilltop Holdings Inc. (NYSE: HTH) to acquire the outstanding common stock that Hilltop does not already own f |
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| January 13, 2014 |
Financial Statements and Exhibits, Other Events - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) January 9, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commissio |
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| January 13, 2014 |
[Letterhead of Hilltop Holdings Inc.] EX-99.2 Exhibit 99.2 [Letterhead of Hilltop Holdings Inc.] January 9, 2014 Mr. Jim Ross President and Chief Executive Officer SWS Group, Inc. 1201 Elm Street, Suite 3500 Dallas, Texas 75270 Dear Jim, It has been a pleasure to work with SWS Group, Inc. since Hilltop Holdings Inc. made its investment in the company in July 2011. We sincerely appreciate our relationship and have genuine respect for y |
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| January 10, 2014 |
HILLTOP HOLDINGS INC. PROPOSES TO ACQUIRE SWS GROUP, INC. FOR $7.00 PER SHARE EX-99.5 3 a14-32431ex99d5.htm EX-99.5 Exhibit 99.5 FOR IMMEDIATE RELEASE Investor Relations Contact: Isabell Novakov, 214-252-4029 PlainsCapital Corporation [email protected] Media Contact: Carol Towne, 214-252-4142 PlainsCapital Corporation [email protected] HILLTOP HOLDINGS INC. PROPOSES TO ACQUIRE SWS GROUP, INC. FOR $7.00 PER SHARE Dallas, TX, January 10, 2014 — Hilltop Holding |
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| January 10, 2014 |
[Letterhead of Hilltop Holdings Inc.] EX-99.4 2 a14-32431ex99d4.htm EX-99.4 Exhibit 99.4 [Letterhead of Hilltop Holdings Inc.] January 9, 2014 Mr. Jim Ross President and Chief Executive Officer SWS Group, Inc. 1201 Elm Street, Suite 3500 Dallas, Texas 75270 Dear Jim, It has been a pleasure to work with SWS Group, Inc. since Hilltop Holdings Inc. made its investment in the company in July 2011. We sincerely appreciate our relationship |
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| January 10, 2014 |
HILLTOP HOLDINGS INC. PROPOSES TO ACQUIRE SWS GROUP, INC. FOR $7.00 PER SHARE EX-99.1 2 a14-32441ex99d1.htm EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Investor Relations Contact: Isabell Novakov, 214-252-4029 PlainsCapital Corporation [email protected] Media Contact: Carol Towne, 214-252-4142 PlainsCapital Corporation [email protected] HILLTOP HOLDINGS INC. PROPOSES TO ACQUIRE SWS GROUP, INC. FOR $7.00 PER SHARE Dallas, TX, January 10, 2014 — Hilltop Holding |
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| January 10, 2014 |
SWS / Sws Group Inc / Hilltop Holdings Inc. - AMENDMENT Activist Investment SC 13D/A 1 a14-32431sc13da.htm AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) SWS Group, Inc. (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 78503N107 (CUSIP Number) Corey Prestidge Hilltop Holdings Inc. 200 Crescent Court, Suite 1330 Dallas, Texas 75 |
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| January 10, 2014 |
Merger Prospectus - CURRENT REPORT OF MATERIAL EVENTS OR CORPORATE CHANGES UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 9, 2014 Hilltop Holdings Inc. (Exact name of registrant as specified in its charter) Maryland 1-31987 84-1477939 (State or other jurisdiction of incorporation) (Commission Fil |
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| January 9, 2014 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) January 9, 2014 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commissio |
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| November 15, 2013 |
8-K 1 d629340d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) November 14, 2013 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of in |
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| November 6, 2013 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q [ X ]QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2013 OR [ ]TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-1 |
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| November 5, 2013 |
SWS Group, Inc. Reports Financial Results for First Quarter of Fiscal 2014 EX-99.1 2 d623056dex991.htm EX-99.1 Exhibit 99.1 SWS Group, Inc. Reports Financial Results for First Quarter of Fiscal 2014 DALLAS, November 5, 2013 – SWS Group, Inc. (NYSE: SWS) (“SWS” or the “Company”) today reported net income of $323,000, or $0.01 per diluted share, for its first quarter of fiscal 2014 on net revenues of $69.0 million, as compared to a net loss of $5.6 million, or $0.17 per di |
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| November 5, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) November 5, 2013 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commissi |
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| October 3, 2013 |
DEFA14A United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use by the Commission Only (as permitted by Rule |
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| October 3, 2013 |
- DEFINITIVE NOTICE & PROXY STATEMENT DEF 14A 1 d599075ddef14a.htm DEFINITIVE NOTICE & PROXY STATEMENT Table of Contents United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Stat |
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| October 1, 2013 |
SWS Group Appoints J. Michael Edge as Interim Chief Financial Officer EX-99.1 2 d605387dex991.htm EX-99.1 Exhibit 99.1 SWS Group Appoints J. Michael Edge as Interim Chief Financial Officer DALLAS, Oct. 1, 2013 – SWS Group, Inc. (NYSE: SWS) (the “Company” or “SWS Group”) announced today that Senior Vice President of Finance and Investor Relations, J. Michael Edge, has been appointed as the Company’s interim Chief Financial Officer and Treasurer. Mr. Edge joined SWS G |
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| October 1, 2013 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) September 30, 2013 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commis |
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| September 17, 2013 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) September 16, 2013 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commis |
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| September 17, 2013 |
EX-99.1 Exhibit 99.1 SWS Group Announces Resignation of Chief Financial Officer Stacy M. Hodges to Depart September 30th to Accept New Position DALLAS, Sept. 17, 2013 – SWS Group, Inc. (NYSE: SWS) (the “Company”) announced today that Executive Vice President, Chief Financial Officer and Treasurer Stacy M. Hodges has submitted her resignation effective September 30, 2013, to accept an executive pos |
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| September 6, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K Table Of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) [ X ] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2013 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-1 |
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| September 6, 2013 |
Exhibit 21.1 - Subsidiaries SWS Group, Inc. State or Other Jurisdiction of Incorporation or Organization Southwest Securities, Inc. Delaware SWS Financial Services, Inc. Texas Southwest Capital Corporation Delaware Southwest Investment Advisors, Inc. Delaware Southwest Insurance Agency, Inc. Texas Southwest Financial Insurance Agency, Inc. Oklahoma SWS Banc Holdings, Inc. Delaware Southwest Securi |
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| August 28, 2013 |
EX-99.1 Exhibit 99.1 SWS Group, Inc. Reports Fourth Quarter and Fiscal 2013 Financial Results Fourth quarter net loss of $32.5 million includes $30.4 million increase to deferred tax asset valuation allowance and $2.5 million after tax gain from change in valuation of warrants DALLAS, August 28, 2013 – SWS Group, Inc. (NYSE: SWS) (“SWS” or the “Company”) today reported a net loss of $32.5 million |
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| August 28, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) August 28, 2013 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commissio |
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| June 28, 2013 |
Form 11-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 24, 2013 |
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) May 23, 2013 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission F |
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| May 8, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 29, 2013 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-19483 SWS |
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| May 7, 2013 |
SWS Group, Inc. Reports Financial Results for Fiscal 2013 Third Quarter EX-99.1 Exhibit 99.1 SWS Group, Inc. Reports Financial Results for Fiscal 2013 Third Quarter DALLAS, May 7, 2013 – SWS Group, Inc. (NYSE: SWS) (“SWS” or the “Company”) today reported a net loss of $5.7 million, or $0.17 per diluted share, for its fiscal 2013 third quarter, as compared to net income of $8.3 million, or $0.04 per diluted share, for the third quarter of fiscal 2012. Excluding a $3.8 |
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| May 7, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) May 7, 2013 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission File Nu |
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| March 6, 2013 |
Form S-8 As filed with the Securities and Exchange Commission on March 6, 2013 Registration No. |
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| February 14, 2013 |
SC 13G/A 1 d486798dsc13ga.htm SC 13G AMENDMENT NO. 2 SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A (Amendment No. 2) (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) SWS Group, Inc. (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securitie |
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| February 8, 2013 |
SWS / Sws Group Inc / BlackRock Inc. Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 4) SWS GROUP INC. - (Name of Issuer) Common Stock - (Title of Class of Securities) 78503N107 - (CUSIP Number) December 31, 2012 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is fil |
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| February 7, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2012 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-19483 |
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| February 6, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) February 6, 2013 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commissi |
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| February 6, 2013 |
EX-99.1 Exhibit 99.1 SWS Group, Inc. Reports Net Income of $10.4 million in Fiscal 2013 Second Quarter Adjusted Net Income of $2.7 million; Improved pre-tax results for all four business segments DALLAS, February 6, 2013 – SWS Group, Inc. (NYSE: SWS) (the “Company”) today reported net income of $10.4 million for its fiscal 2013 second quarter compared to a net loss of $14.3 million in the second q |
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| February 6, 2013 |
SWS / Sws Group Inc / WHV Investments, Inc. - SCHEDULE 13G AMENDMENT FILING Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| January 15, 2013 |
SWS Group Announces Termination of Cease and Desist Order at Southwest Securities, FSB Press Release issued by the Company on January 15, 2013 Exhibit 99.1 SWS Group Announces Termination of Cease and Desist Order at Southwest Securities, FSB DALLAS, January 15, 2013 – SWS Group, Inc. (NYSE: SWS) (the “Company”) announced today that the Office of the Comptroller of the Currency (the “OCC”) has lifted the Cease and Desist Order (the “Order”) under which the Company’s banking subsidia |
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| January 15, 2013 |
Financial Statements and Exhibits, Other Events - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) January 14, 2013 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commissi |
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| November 21, 2012 |
Exhibit 4.10 SWS GROUP, INC. 2012 RESTRICTED STOCK PLAN RESTRICTED STOCK AGREEMENT FOR EMPLOYEES Grantee: Address: Number of Awarded Shares: Date of Grant: Vesting of Awarded Shares: Date No. Shares Vested % ¨ % ¨ % ¨ % ¨ % Total 100 % SWS Group, Inc., a Delaware corporation (the “Company”), hereby grants to the individual whose name appears above (“Grantee”), pursuant to the provisions of the SWS |
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| November 21, 2012 |
FORM OF SWS GROUP, INC. RESTRICTED STOCK AGREEMENT FOR OUTSIDE DIRECTORS Exhibit 4.9 SWS GROUP, INC. 2012 RESTRICTED STOCK PLAN RESTRICTED STOCK AGREEMENT FOR OUTSIDE DIRECTORS Grantee: Address: Number of Awarded Shares: Date of Grant: Vesting of Awarded Shares: Date No. Shares Vested % ¨ % ¨ % ¨ % ¨ % Total 100 % SWS Group, Inc., a Delaware corporation (the “Company”), hereby grants to the indivi |
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| November 21, 2012 |
As filed with the Securities and Exchange Commission on November 21, 2012 Registration No. |
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| November 16, 2012 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) November 15, 2012 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commiss |
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| November 7, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 10-Q Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| November 6, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) November 6, 2012 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commissi |
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| November 6, 2012 |
Exhibit 99.1 SWS Group, Inc. Reports Fiscal 2013 First Quarter Results Broker-dealer and Banking Segments Post Pre-tax Profits; Bank Reduces Classified Assets by 51 Percent from Last Year DALLAS, November 6, 2012 – SWS Group, Inc. (NYSE: SWS) (the “Company”) today reported a net loss of $5.6 million, or $0.17 per diluted share, for its fiscal 2013 first quarter ended September 28, 2012, compared w |
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| October 4, 2012 |
- DEFINITIVE NOTICE & PROXY STATEMENT DEF 14A 1 d411169ddef14a.htm DEFINITIVE NOTICE & PROXY STATEMENT Table of Contents United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Stat |
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| October 4, 2012 |
- DEFINITIVE ADDITIONAL MATERIALS DEFA14A 1 d411169ddefa14a.htm DEFINITIVE ADDITIONAL MATERIALS United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, |
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| September 7, 2012 |
Exhibit 21.1 - Subsidiaries SWS Group, Inc. State or Other Jurisdiction of Incorporation or Organization Southwest Securities, Inc. Delaware SWS Financial Services, Inc. Texas SWS Capital Corporation Delaware Southwest Investment Advisors, Inc. Delaware Southwest Insurance Agency, Inc. Texas Southwest Insurance Agency of Alabama, Inc. Alabama Southwest Financial Insurance Agency, Inc. Oklahoma SWS |
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| September 7, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 29, 2012 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-194 |
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| September 4, 2012 |
Press Release Issued by SWS on September 4, 2012 Exhibit 99.1 SWS Group, Inc. Reports Fourth Quarter and Fiscal 2012 Results Bank Reduces Classified Assets by More Than 50 Percent from Prior Fiscal Year, and Reports Fiscal 2012 Pre-Tax Income of $7.3 Million DALLAS, September 4, 2012 – SWS Group, Inc. (NYSE: SWS) (the “Company”) today reported a net loss of $303,000 for its fiscal 2012 fourth quar |
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| September 4, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) September 4, 2012 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commiss |
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| June 28, 2012 |
Form 11-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| June 27, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) June 27, 2012 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission File Numb |
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| May 9, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 10-Q 10-Q 1 d333701d10q.htm FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 30, 2012 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Com |
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| May 8, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) May 8, 2012 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission Fi |
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| May 8, 2012 |
Press Release issued by SWS on May 8, 2012 Exhibit 99.1 SWS Group, Inc. Reports Fiscal 2012 Third Quarter Net Income of $8.3 Million Bank’s Classified Assets Down 49 Percent from Year Ago; Retail Segment Makes Recruiting Gains DALLAS, May 8, 2012 – SWS Group, Inc. (NYSE: SWS) (the “Company”) today reported net income of $8.3 million for its fiscal 2012 third quarter, or $0.04 per diluted share, as |
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| March 21, 2012 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) March 16, 2012 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission |
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| March 7, 2012 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) March 7, 2012 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission |
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| March 7, 2012 |
SWS Group, Inc. Restated By-Laws Exhibit 3.2 RESTATED BY-LAWS OF SWS GROUP, INC. (A DELAWARE CORPORATION) March 1, 2012 TABLE OF CONTENTS ARTICLE I 1 OFFICES Section 1. Registered Office 1 Section 2. Other Offices 1 ARTICLE II 1 MEETINGS OF STOCKHOLDERS Section 1. Time and Place of Meetings 1 Section 2. Annual Meetings 1 Section 3. Notice of Annual Meetings 1 Section 4. Special Meetings 1 Section |
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| February 14, 2012 |
SWS / Sws Group Inc / WHV Investments, Inc. - SCHEDULE 13G HOLDINGS REPORT Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 SWS Group, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 78503N107 (CUSIP Number) December 31, 2011 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rul |
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| February 10, 2012 |
SWS / Sws Group Inc / BlackRock Inc. Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 3) SWS GROUP INC - (Name of Issuer) Common Stock - (Title of Class of Securities) 78503N107 - (CUSIP Number) December 30, 2011 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is file |
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| February 8, 2012 |
Form of SWS Group, Inc. Restricted Stock Plan Agreement for Employees Exhibit 10.1 SWS GROUP, INC. 2003 RESTRICTED STOCK PLAN RESTRICTED STOCK AGREEMENT FOR EMPLOYEES Grantee: Address: Number of Awarded Shares: Date of Grant: Vesting of Awarded Shares: Vesting Date No. Shares Vested % 100% SWS Group, Inc., a Delaware corporation (the “Company”), hereby grants to the individual whose name appears a |
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| February 8, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 10-Q Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| February 7, 2012 |
Amendment No.1 to Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* SWS Group, Inc. (Name of issuer) Common Stock, par value $0.10 per share (Title of class of securities) 78503N107 (CUSIP number) December 31, 2011 (Date of event which requires filing of this statement) Check the appropri |
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| February 7, 2012 |
EXHIBIT 1 EXHIBIT 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the Common Stock, par value $0. |
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| February 7, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) February 7, 2012 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commissi |
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| February 7, 2012 |
Exhibit 99.1 SWS Group, Inc. Reports Fiscal 2012 Second Quarter Financial Results Bank Reduces Classified Assets 18 Percent From First Quarter DALLAS, February 7, 2012 – SWS Group, Inc. (NYSE: SWS) (the “Company”) today reported a net loss of $14.3 million for its fiscal 2012 second quarter, or $0.44 per diluted share, on net revenues of $68.4 million, as compared to a net loss of $330,000, or $0. |
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| December 1, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) SWS GROUP, INC. (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 78503N 10 7 (CUSIP Number) Corey G. Prestidge Hilltop Holdings Inc. 200 Crescent Court, Suite 1330 Dallas, Texas 75201 (214) 855-2177 (Name, Address an |
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| November 29, 2011 |
SWS Group, Inc. UP TO 17,391,304 SHARES OF COMMON STOCK Table of Contents Filed Pursuant to Rule 424(b)(3) Registration Statement No. 333-177217 PROSPECTUS SWS Group, Inc. UP TO 17,391,304 SHARES OF COMMON STOCK The selling stockholders named in this prospectus may use this prospectus to offer and sell, from time to time, up to 17,391,304 shares of our common stock issuable upon the exercise of warrants. We will not receive any of the proceeds from the |
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| November 22, 2011 |
Exhibit 99.1 SWS Group, Inc. Elects Christie S. Flanagan and Tyree B. Miller to Board of Directors Stockholders Re-elect Nine Current Directors at Annual Meeting Board Names Frederick R. Meyer Chairman DALLAS – November 22, 2011 – SWS Group, Inc. (NYSE: SWS) (the “Company”) today announced the election of Christie S. Flanagan and Tyree B. “Ty” Miller to its Board of Directors at a meeting of the C |
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| November 22, 2011 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) November 17, 2011 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commiss |
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| November 22, 2011 |
Paul D. Vinton to Retire as SWS Group Executive Vice President Exhibit 99.2 Paul D. Vinton to Retire as SWS Group Executive Vice President DALLAS – November 22, 2011 – SWS Group, Inc. (NYSE: SWS) (the “Company”) today announced that Paul D. Vinton, Executive Vice President of SWS Group, is retiring effective December 31, 2011. “Over the course of his 40-year career, Paul has compiled an impressive list of accomplishments and contributions to our industry,” sa |
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| November 21, 2011 |
Correspondence Letter Allen R. Tubb Email: [email protected] Vice President Direct Line: 214-859-6629 General Counsel and Secretary Direct Fax: 214-859-6020 November 21, 2011 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: SWS Group, Inc. Pre-Effective Amendment No. 2 to the Registration Statement on Form S-3 Filed November 16 |
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| November 16, 2011 |
As filed with the Securities and Exchange Commission on November 16, 2011 Table of Contents As filed with the Securities and Exchange Commission on November 16, 2011 Registration No. |
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| November 16, 2011 |
Response Letter to the SEC Allen R. Tubb Vice President General Counsel and Secretary Email: [email protected] Direct Line: 214-859-6629 Direct Fax: 214-859-6020 November 16, 2011 VIA EDGAR Ms. Suzanne Hayes Assistant Director Division of Corporation Finance Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: SWS Group, Inc. Amendment No. 1 to Registration Statement on Form |
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| November 10, 2011 |
November 10, 2011 Allen R. Tubb Vice President, General Counsel and Secretary SWS Group, Inc. 1201 Elm Street, Suite 3500 Dallas, Texas 75270 Re: SWS Group, Inc. Amendment No. 1 to Registration Statement on Form S-3 Filed November 4, 2011 File No. 333-177217 Dear Mr. Tubb: We have limited our review of your registration statement and your supplemental response letter to those issues we have addres |
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| November 9, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 10-Q Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| November 8, 2011 |
EX-99.1 2 d253569dex991.htm PRESS RELEASE Exhibit 99.1 SWS Group, Inc. Reports Fiscal 2012 First Quarter Net Income of $1.7 Million Banking Segment Records Pretax Profit for Second Consecutive Quarter DALLAS, November 8, 2011 – SWS Group, Inc. (NYSE: SWS) (the “Company”) today reported net income of $1.7 million, or diluted earnings per share of $0.05, for the Company’s fiscal 2012 first quarter e |
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| November 8, 2011 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) November 8, 2011 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission File N |
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| November 4, 2011 |
Correspondence Letter November 4, 2011 VIA EDGAR Ms. Suzanne Hayes Assistant Director Division of Corporation Finance Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: SWS Group, Inc. Registration Statement on Form S-3 Filed October 7, 2011 File No. 333-177217 Dear Ms. Hayes: On behalf of SWS Group, Inc. (the “Company”), reference is made to the comment letter dated Oc |
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| November 4, 2011 |
As filed with the Securities and Exchange Commission on November 4, 2011 Table of Contents As filed with the Securities and Exchange Commission on November 4, 2011 Registration No. |
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| October 19, 2011 |
October 19, 2011 Allen R. Tubb Vice President, General Counsel and Secretary SWS Group, Inc. 1201 Elm Street, Suite 3500 Dallas, Texas 75270 Re: SWS Group, Inc. Registration Statement on Form S-3 Filed October 7, 2011 File No. 333-177217 Dear Mr. Tubb: We have limited our review of your registration statement to those issues we have addressed in our comments. In some of our comments, we may ask yo |
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| October 7, 2011 |
As filed with the Securities and Exchange Commission on October 7, 2011 Table of Contents As filed with the Securities and Exchange Commission on October 7, 2011 Registration No. |
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| October 7, 2011 |
EX-4.1 2 d240293dex41.htm SPECIMEN CERTIFICATE OF COMMON STOCK Exhibit 4.1 |
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| October 6, 2011 |
United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use by the Commission Only (as permitted by Rule 14a-6(e) |
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| October 6, 2011 |
Table of Contents United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use by the Commission Only (as permitte |
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| October 4, 2011 |
SWS Group Co-Founder and Chairman Don A. Buchholz Named Chairman Emeritus Exhibit 99.1 SWS Group Co-Founder and Chairman Don A. Buchholz Named Chairman Emeritus DALLAS – October 4, 2011- SWS Group, Inc. (NYSE: SWS) today announced that its co-founder and chairman, Don A. Buchholz, 82, has chosen not to seek re-election to SWS Group’s Board of Directors and will be named Chairman Emeritus following the completion of his term on November 17, 2011. “For the past four decad |
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| October 4, 2011 |
form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) October 3, 2011 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commissio |
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| September 16, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) SWS GROUP, INC. (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 78503N 10 7 (CUSIP Number) Corey G. Prestidge Hilltop Holdings Inc. 200 Crescent Court, Suite 1330 Dallas, Texas 75201 (214) 855-2177 (Name, Address an |
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| September 2, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 10-Q/A Amendment No. 1 Form 10-Q/A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| September 2, 2011 |
Exhibit 21.1 - Subsidiaries SWS Group, Inc. State or Other Jurisdiction of Incorporation or Organization Southwest Securities, Inc. Delaware SWS Financial Services, Inc. Texas SWS Capital Corporation Delaware Southwest Investment Advisors, Inc. Delaware Southwest Insurance Agency, Inc. Texas Southwest Insurance Agency of Alabama, Inc. Alabama Southwest Financial Insurance Agency, Inc. Oklahoma SWS |
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| September 2, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 10-Q/A Amendment No. 1 Amendment #1 to Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| September 2, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 24, 2011 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-194 |
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| September 2, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 10-Q/A Amendment No. 1 Form 10-Q/A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| August 30, 2011 |
EX-99.1 2 dex991.htm PRESS RELEASE Exhibit 99.1 SWS Group, Inc. Announces Fourth Quarter and Fiscal 2011 Results Broker-Dealer Business Lines Report Pretax Profits for Fiscal Year Bank Shows Improvement in Fourth Quarter DALLAS, August 29, 2011 – SWS Group, Inc. (NYSE: SWS) (the Company) today reported net income of $22,000 for its fiscal 2011 fourth quarter, or diluted earnings per share of less |
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| August 30, 2011 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) August 29, 2011 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission File Nu |
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| August 30, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) August 29, 2011 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission File Nu |
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| August 25, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) August 24, 2011 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission File Nu |
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| August 25, 2011 |
Stacy M. Hodges named Chief Financial Officer of SWS Group, Inc. EX-99.1 2 dex991.htm PRESS RELEASE Exhibit 99.1 Stacy M. Hodges named Chief Financial Officer of SWS Group, Inc. DALLAS, August 25, 2011 – SWS Group, Inc.’s (NYSE: SWS) Board of Directors announced today that Stacy M. Hodges has been elected chief financial officer and treasurer of the company. Ms. Hodges had served as interim CFO and treasurer of SWS Group since October 2010. “Throughout her care |
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| August 8, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* SWS Group, Inc. (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 78503N107 (CUSIP Number) Corey Prestidge Hilltop Holdings Inc. 200 Crescent Court, Suite 1330 Dallas, Texas 75201 (214) 855-2181 (Name, Address and Tel |
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| August 5, 2011 |
Oak Hill Capital Partners III, L.P. EX-99.1 2 misc1.htm MISCELLANEOUS EXHIBITS Oak Hill Capital Partners III, L.P. By: OHCP GenPar III, L.P, its General Partner By: OHCP MGP Partners III, L.P., its General Partner By: OHCP MGP III, Ltd., its General Partner By: /s/ Ray Pinson 8/04/2011 Name: Ray Pinson Date Title: Authorized Person Oak Hill Capital Management Partners III, L.P. By: OHCP GenPar III, L.P, its General Partner By: OHCP |
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| August 5, 2011 |
EXHIBIT 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned acknowledge and agree that the foregoing statement on Schedule 13D is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13D may be filed on behalf of each of the undersigned without the necessity of |
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| August 5, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 SWS Group, Inc. (Name of Issuer) Common Stock, $0.10 par value (Title of Class of Securities) 78503N107 (CUSIP Number) John Monsky Oak Hill Capital Management, LLC 65 East 55th Street, 32nd Floor, New York, NY 10022 With a copy to: Lee A. Meyerson, Esq. Elizabeth Cooper, E |
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| August 1, 2011 |
Warrant to purchase up to 8,695,652 shares of Common Stock Exhibit 4.1 THE SECURITIES REPRESENTED BY THIS INSTRUMENT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR SECURITIES LAWS OF ANY STATE AND MAY NOT BE TRANSFERRED, SOLD OR OTHERWISE DISPOSED OF EXCEPT WHILE A REGISTRATION STATEMENT RELATING THERETO IS IN EFFECT UNDER SUCH ACT AND APPLICABLE STATE SECURITIES LAWS OR |
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| August 1, 2011 |
EX-4.2 4 dex42.htm WARRANT TO PURCHASE UP TO 8,419,148 SHARES OF COMMON STOCK Exhibit 4.2 THE SECURITIES REPRESENTED BY THIS INSTRUMENT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR SECURITIES LAWS OF ANY STATE AND MAY NOT BE TRANSFERRED, SOLD OR OTHERWISE DISPOSED OF EXCEPT WHILE A REGISTRATION STATEMENT RELATING THERETO IS IN EFFECT UNDER SUCH ACT AND APPLICABLE STATE |
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| August 1, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) July 29, 2011 SWS GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 000-19483 75-2040825 (State or other jurisdiction of incorporation) (Commission File Numb |
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| August 1, 2011 |
Exhibit 4.3 THE SECURITIES REPRESENTED BY THIS INSTRUMENT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR SECURITIES LAWS OF ANY STATE AND MAY NOT BE TRANSFERRED, SOLD OR OTHERWISE DISPOSED OF EXCEPT WHILE A REGISTRATION STATEMENT RELATING THERETO IS IN EFFECT UNDER SUCH ACT AND APPLICABLE STATE SECURITIES LAWS OR PURSUANT TO AN EXEMPTION FROM REGISTRATION UNDER SUCH ACT |
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| August 1, 2011 |
Investor Rights Agreement Exhibit 4.4 INVESTORS RIGHTS AGREEMENT between SWS GROUP, INC., HILLTOP HOLDINGS INC. OAK HILL CAPITAL PARTNERS III, L.P., and OAK HILL CAPITAL MANAGEMENT PARTNERS III, L.P. Dated as of July 29, 2011 TABLE OF CONTENTS Page Section 1. Definitions 1 Section 2. Board of Directors 3 Section 3. [Reserved] 5 Section 4. Participation Rights 5 Section 5. Transfer Restrictions 7 S |
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| August 1, 2011 |
Credit Agreement Exhibit 10.1 $100,000,000 CREDIT AGREEMENT among SWS GROUP, INC., as Borrower, The Subsidiaries of SWS Group, Inc. from Time to Time Parties Hereto, as Guarantors, The Several Lenders from Time to Time Parties Hereto, and Hilltop Holdings Inc., as Administrative Agent Dated as of July 29, 2011 TABLE OF CONTENTS Page SECTION 1. DEFINITIONS 1 1.1 Defined Terms 1 1.2 Other Definition |
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| August 1, 2011 |
EX-99.1 8 dex991.htm PRESS RELEASE Exhibit 99.1 SWS Group Completes $100 Million Capital Raise with Hilltop Holdings and Oak Hill Capital Partners Gerald J. Ford and J. Taylor Crandall Join SWS Group Board of Directors DALLAS – August 1, 2011- SWS Group, Inc. (NYSE: SWS) today announced the completion of its $100 million capital raise with Hilltop Holdings Inc. (NYSE: HTH) and Oak Hill Capital Par |
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| August 1, 2011 |
Certificate of Designations of Non-Voting Perpetual Exhibit 3.1 CERTIFICATE OF DESIGNATIONS OF NON-VOTING PERPETUAL PARTICIPATING PREFERRED STOCK SERIES A OF SWS GROUP, INC. Pursuant to Section 151(g) of the General Corporation Law of the State of Delaware SWS GROUP INC., a corporation organized and existing under the laws of the State of Delaware (the “Company”), in accordance with the provisions |
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| June 29, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the year ended December 31, 2010 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-19483 A. Full title of |
