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, 2008
SWS GROUP, INC.
(Exact name of registrant as specified in charter)
| Delaware | 0-19483 | 75-2040825 | ||
| (State or other jurisdiction of incorporation or organization) | (Commission File Number) | (IRS Employer Identification No.) |
1201 Elm Street, Suite 3500
Dallas, Texas 75270
(Address of principal executive offices and zip code)
(214) 859-1800
(Registrant’s 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):
| ¨ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425). |
| ¨ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12). |
| ¨ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)). |
| ¨ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)). |
| Item 8.01 | Other Events. |
On February 5, 2008, SWS Group, Inc. issued a press release announcing that it had entered into a definitive agreement to acquire M. L. Stern & Co. and its wholly owned subsidiary, Tower Asset Management, LLC, from a subsidiary of Pacific Life Insurance Company. The acquisition is subject to customary closing conditions, including regulatory approvals, and is expected to be consummated during the first calendar quarter of 2008. The press release is attached as Exhibit 99.1 and is incorporated herein by reference.
| Item 9.01(d). | Exhibits. |
| Exhibit 99.1 | Press release dated February 5, 2008, issued by SWS Group, Inc. |
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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.
| SWS GROUP, INC. | ||||||
Date: February 5, 2008 | By: | /s/ Kenneth R. Hanks | ||||
| Kenneth R. Hanks | ||||||
Executive Vice President, Chief Financial Officer and Treasurer | ||||||
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