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, 2009
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 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 5.03 | Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year. |
SWS Group, Inc. (the “Company”) has filed a Restated Certificate of Incorporation with the Delaware Secretary of State, effective October 15, 2009. The Restated Certificate of Incorporation omits provisions that named the incorporator and the initial board of directors, but is otherwise unchanged. The full text of the Restated Certificate of Incorporation is filed as Exhibit 3.1 to this Current Report and is incorporated herein by reference.
Exhibit 3.1 Restated Certificate of Incorporation of 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: October 15, 2009 | | By: | | /S/ KENNETH R. HANKS |
| | | | Kenneth R. Hanks |
| | | | Executive Vice President, Chief Financial Officer and Treasurer |
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EXHIBIT INDEX
| | |
Exhibit No. | | Description |
| |
Exhibit 3.1 | | Restated Certificate of Incorporation of SWS Group, Inc. |
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