MOSLE JON L JR 4

4 · SWS GROUP INC · Filed Oct 28, 2003

Form 4

Period: 2003-10-27

Director

Transactions

Other
Phantom Stock
2003-07-01$20.32/sh+1,513$30,744→ 1,513 total
Exercise: $20.32From: 2000-11-01Exp: 2010-11-01→ Common Stock $.10 Par Value (1,513 underlying)
Other
Common Stock $.10 Par Value
2003-07-01−1,513→ 0 total
Exercise of In-Money
Common Stock $.10 Par Value
2003-10-27$10.92/sh+3,272$35,730→ 20,181 total
Exercise of In-Money
Stock Option SWS Stock Option Plan
2003-10-27$10.92/sh−3,272$35,730→ 0 total
Exercise: $10.92From: 1999-05-03Exp: 2003-11-03→ Common Stock $.10 Par Value (3,272 underlying)

Holdings

Stock Option SWS Stock Option Plan
Exercise: $12.98From: 2003-05-05Exp: 2007-11-05→ Common Stock $.10 Par Value (2,000 underlying)
2,000
Stock Option SWS Stock Option Plan
Exercise: $17.98From: 2000-05-01Exp: 2004-11-01→ Common Stock $.10 Par Value (2,974 underlying)
2,974
Stock Option SWS Stock Option Plan
Exercise: $15.78From: 2002-05-06Exp: 2006-11-06→ Common Stock $.10 Par Value (2,458 underlying)
2,458
Stock Option SWS Stock Option Plan
Exercise: $20.89From: 2001-04-30Exp: 2005-10-31→ Common Stock $.10 Par Value (2,704 underlying)
2,704

Footnotes (4)

[F1]Transaction to report Phantom Stock as derivative which has been previously reported as non-derivative.
[F2]Phantom Stock shares/units bear 1:1 ratio to underlying shares.
[F3]Transaction to correctly report Phantom Stock as derivative which has previously been reported as non-derivative.
[F4]The shares of phantom stock become payable in cash for the twelve month period beginning on the date of the reporting person's termination of service as a director.

Documents

1 file