Current Report Filing (8-k)
February 05 2014 - 4:08PM
Edgar (US Regulatory)
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)
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Delaware |
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000-19483 |
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75-2040825 |
(State or other jurisdiction
of incorporation) |
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(Commission
File Number) |
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(IRS Employer
Identification No.) |
1201 Elm Street, Suite 3500
Dallas, Texas 75270
(Address of principal executive offices and zip code)
(214) 859-1800
(Registrants telephone number, including area code)
N/A
(Former name or
former address, if changed since last report)
Check the appropriate box below
if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the Registrant under any of the following provisions (see General Instruction A.2. below):
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425). |
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12). |
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)). |
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)). |
Item 2.02 Results of Operations and Financial Condition.
On February 5, 2014, SWS Group, Inc. (SWS) issued a press release regarding its results of operations for the second quarter
ended December 31, 2013. The press release is attached hereto as Exhibit 99.1.
Pursuant to General Instruction B.2 of Form 8-K, the
information in Item 2.02 of this Form 8-K and Exhibit 99.1 attached hereto shall not be deemed filed for the purposes of Section 18 of the Exchange Act, and is not incorporated by reference into any filing of SWS, whether made before or
after the date hereof and regardless of any general incorporation language in such filing.
Item 9.01(d). Exhibits.
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Exhibit 99.1 |
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Press Release issued by SWS on February 5, 2014. |
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by
the undersigned hereunto duly authorized.
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SWS GROUP, INC. |
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Date: February 5, 2014 |
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By: |
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/s/ J. Michael Edge |
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J. Michael Edge |
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Chief Financial Officer |
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EXHIBIT INDEX
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Exhibit No. |
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Description |
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Exhibit 99.1 |
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Press Release issued by SWS on February 5, 2014. |
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