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UNITED STATES |
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SECURITIES AND EXCHANGE COMMISSION |
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Washington, D.C. 20549 |
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SCHEDULE 13D |
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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 and Telephone Number of Person
Authorized to Receive Notices and Communications)
September 13, 2011
(Date of Event Which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box: o
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.
* The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
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CUSIP No. 78503N 10 7 |
SCHEDULE 13D |
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1. |
Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). | |||
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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(a) |
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(b) |
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3. |
SEC Use Only | |||
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4. |
Source of Funds (See Instructions) | |||
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5. |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) o | |||
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6. |
Citizenship or Place of Organization | |||
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Number of |
7. |
Sole Voting Power | |||
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8. |
Shared Voting Power | ||||
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9. |
Sole Dispositive Power | ||||
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10. |
Shared Dispositive Power | ||||
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11. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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12. |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||
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13. |
Percent of Class Represented by Amount in Row (11) | |||
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14. |
Type of Reporting Person (See Instructions) | |||
(a) Includes 8,695,652 shares of common stock that are acquirable upon the exercise of a warrant. The warrant is exercisable at any time for five years from the date of original issuance, but will expire to the extent that SWS Group, Inc. prepays the loan made to it by Hilltop Holdings Inc. and the holder does not exercise a corresponding portion of the warrant. The exercise price and number of shares of common stock acquirable upon exercise of the warrant is subject to adjustment as set forth in the warrant.
(b) Based upon 32,539,020 shares of common stock of SWS Group, Inc. outstanding on August 26, 2011, as reported in its Annual Report on Form 10-K for the year ended June 24, 2011. Shares issuable pursuant to the warrant are treated as if outstanding for computing the percentage ownership of Hilltop Holdings Inc., but are not treated as outstanding for purposes of computing the percentage ownership of any other person.
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CUSIP No. 78503N 10 7 |
SCHEDULE 13D |
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This Amendment No. 1 to Schedule 13D amends and supplements the Schedule 13D filed by Hilltop Holdings Inc. with the Securities and Exchange Commission (the “Commission”) on August 8, 2011 (as amended and supplemented, collectively, this “Statement” or this “Schedule 13D”), relating to the common stock, $0.10 par value per share, of SWS Group, Inc., a Delaware corporation. Initially capitalized terms used herein that are not otherwise defined herein shall have the same meanings attributed to them in the Schedule 13D. Except as expressly provided for herein, all Items of the Schedule 13D remain unchanged.
Item 1. Security and Issuer
Item 1 is hereby amended and restated in its entirety to read as follows:
This Schedule 13D relates to 9,053,052 shares of common stock, $0.10 par value per share (the “Common Stock”), of SWS Group, Inc., a Delaware corporation (the “Company” or the “Issuer”). This includes 8,695,652 shares of Common Stock (and, in some cases, the Company’s non-voting preferred stock, $1.00 par value per share (“Series A Preferred Stock”)) that are acquirable upon the exercise of a warrant issued to Hilltop Holdings Inc. by the Company. The warrant is exercisable at any time for five years from the date of original issuance, but will expire to the extent that the Company prepays the loan made to it by Hilltop Holdings Inc. and the holder does not exercise a corresponding portion of the warrant. The exercise price and number of shares of Common Stock acquirable upon exercise of the warrant is subject to adjustment as set forth in the warrant. This description of the warrant does not purport to be complete and is subject to, and qualified in its entirety by reference to, the full text of the warrant, which is filed as Exhibit 99.2 to this Schedule 13D.
The Company’s principal executive office is located at 1201 Elm Street, Suite 3500, Dallas, Texas 75270.
Item 3. Source and Amount of Funds or Other Consideration
Item 3 is hereby supplemented to read as follows:
From September 6, 2011 through September 13, 2011, the Reporting Person purchased 357,400 shares of Common Stock in the open market for an aggregate cash purchase price of $1,712,535. The Reporting Person made these purchases utilizing funds from its available working capital.
Item 5. Interest in Securities of the Issuer
Item 5 is hereby amended and restated in its entirety to read as follows:
(a) As of September 14, 2011, the Reporting Person was the beneficial owner of 9,053,052 shares of Common Stock, which represents 22.0% of the outstanding Common Stock. This includes 8,695,652 shares of Common Stock (and, in some cases, the Series A Preferred Stock) that are acquirable upon the exercise of a warrant issued to the Reporting Person by the Company. The warrant is exercisable at any time for five years from the date of original issuance, but will expire to the extent that the Company prepays the loan made to it by the Reporting Person and the holder does not exercise a corresponding portion of the warrant. The exercise price and number of shares of Common Stock acquirable upon exercise of the warrant is subject to adjustment as set forth in the warrant. To the best knowledge of the Reporting Person, none of the Named Individuals beneficially owns any shares of Common Stock. The foregoing reported percentage ownership is based upon 32,539,020 shares of Common Stock outstanding on August 26, 2011, as reported in the Company’s Annual Report on Form 10-K for the year ended June 24, 2011. Shares issuable pursuant to the warrant are treated as if outstanding for computing the percentage ownership of the Reporting Person, but are not treated as outstanding for purposes of computing the percentage ownership of any other person.
(b) Until shares of Common Stock are acquired upon exercise of the warrant (and, in some cases, conversion of the Series A Preferred Stock), those shares are not entitled to vote. The Reporting Person
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CUSIP No. 78503N 10 7 |
SCHEDULE 13D |
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has the sole power to vote, or to direct the vote of, and the sole power to dispose, or to direct the disposition of, the shares of Common Stock, the warrant and the shares of Common Stock acquirable upon exercise of the warrant (and, in some cases, the Series A Preferred Stock) reported in this Schedule 13D. The Named Individuals may be deemed to have beneficial ownership of these securities. The Named Individuals disclaim beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.
(c) Except for the purchases of Common Stock set forth on Schedule A to this Schedule 13D, the Reporting Person has not, and to the Reporting Person’s knowledge, without independent verification, none of the Named Individuals have, effected any transactions in the securities of the Company since the filing of the Schedule 13D by the Reporting Person on August 8, 2011.
(d) Other than the Reporting Person, no other person has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the securities of the Issuer referred to in this Item 5.
(e) Not applicable.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
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Date: September 15, 2011 |
HILLTOP HOLDINGS INC., | |
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a Maryland corporation | |
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By: |
/s/ COREY PRESTIDGE |
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Name: |
Corey Prestidge |
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Title: |
General Counsel |
Schedule A
Transactions in Securities of SWS Group, Inc.
Since the filing of the Schedule 13D by Hilltop Holdings Inc. on August 8, 2011, Hilltop Holdings Inc. made the following open market purchases of SWS Group, Inc. common stock.
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Date of Transaction |
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Number of Shares |
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Price Per |
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September 6, 2011 |
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22 |
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$ |
3.6900 |
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September 6, 2011 |
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605 |
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$ |
3.7000 |
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September 6, 2011 |
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200 |
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$ |
3.7100 |
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September 6, 2011 |
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100 |
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$ |
3.7200 |
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September 6, 2011 |
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78 |
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$ |
3.7400 |
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September 6, 2011 |
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1,600 |
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$ |
3.7700 |
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September 6, 2011 |
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242 |
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$ |
3.7800 |
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September 6, 2011 |
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58 |
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$ |
3.7900 |
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September 6, 2011 |
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100 |
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$ |
3.7985 |
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September 6, 2011 |
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200 |
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$ |
3.8000 |
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September 6, 2011 |
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100 |
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$ |
3.8100 |
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September 6, 2011 |
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100 |
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$ |
3.8300 |
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September 6, 2011 |
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500 |
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$ |
3.8400 |
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September 6, 2011 |
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100 |
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$ |
3.8500 |
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September 6, 2011 |
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100 |
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$ |
3.8600 |
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September 6, 2011 |
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200 |
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$ |
3.8700 |
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September 6, 2011 |
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300 |
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$ |
3.8800 |
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September 6, 2011 |
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100 |
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$ |
3.8888 |
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September 6, 2011 |
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400 |
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$ |
3.8900 |
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September 6, 2011 |
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900 |
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$ |
3.9000 |
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September 6, 2011 |
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761 |
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$ |
3.9100 |
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September 6, 2011 |
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300 |
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$ |
3.9200 |
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September 6, 2011 |
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900 |
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$ |
3.9300 |
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September 6, 2011 |
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100 |
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$ |
3.9394 |
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September 6, 2011 |
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1,500 |
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$ |
3.9400 |
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September 6, 2011 |
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1,899 |
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$ |
3.9500 |
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September 6, 2011 |
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100 |
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$ |
3.9597 |
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September 6, 2011 |
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2,801 |
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$ |
3.9600 |
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September 6, 2011 |
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500 |
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$ |
3.9700 |
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September 6, 2011 |
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200 |
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$ |
3.9800 |
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September 6, 2011 |
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200 |
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$ |
3.9890 |
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September 6, 2011 |
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1,102 |
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$ |
3.9900 |
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September 6, 2011 |
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1,798 |
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$ |
4.0000 |
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September 6, 2011 |
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1,399 |
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$ |
4.0900 |
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September 6, 2011 |
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400 |
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$ |
4.1000 |
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September 6, 2011 |
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534 |
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$ |
4.1300 |
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September 6, 2011 |
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100 |
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$ |
4.1392 |
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September 6, 2011 |
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300 |
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$ |
4.1400 |
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September 6, 2011 |
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43 |
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$ |
4.1700 |
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September 6, 2011 |
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400 |
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$ |
4.1800 |
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September 6, 2011 |
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500 |
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$ |
4.1825 |
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Date of Transaction |
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Number of Shares |
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Price Per |
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September 6, 2011 |
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100 |
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$ |
4.1884 |
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September 6, 2011 |
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100 |
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$ |
4.1886 |
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September 6, 2011 |
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100 |
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$ |
4.1887 |
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September 6, 2011 |
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100 |
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$ |
4.1889 |
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September 6, 2011 |
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100 |
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$ |
4.1892 |
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September 6, 2011 |
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100 |
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$ |
4.1893 |
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September 6, 2011 |
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100 |
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$ |
4.1899 |
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September 6, 2011 |
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1,000 |
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$ |
4.1900 |
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September 6, 2011 |
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200 |
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$ |
4.1975 |
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September 6, 2011 |
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257 |
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$ |
4.2000 |
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September 6, 2011 |
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100 |
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$ |
4.2100 |
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September 6, 2011 |
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200 |
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$ |
4.2150 |
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September 6, 2011 |
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300 |
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$ |
4.2200 |
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September 6, 2011 |
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200 |
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$ |
4.2250 |
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September 6, 2011 |
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100 |
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$ |
4.2287 |
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September 6, 2011 |
|
900 |
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$ |
4.2300 |
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September 6, 2011 |
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200 |
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$ |
4.2350 |
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September 6, 2011 |
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100 |
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$ |
4.2392 |
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September 6, 2011 |
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1,100 |
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$ |
4.2400 |
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September 6, 2011 |
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200 |
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$ |
4.2425 |
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September 6, 2011 |
|
100 |
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$ |
4.2497 |
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September 6, 2011 |
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4,000 |
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$ |
4.2500 |
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September 6, 2011 |
|
100 |
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$ |
4.2589 |
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September 6, 2011 |
|
700 |
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$ |
4.2600 |
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September 6, 2011 |
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100 |
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$ |
4.2690 |
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September 6, 2011 |
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1,500 |
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$ |
4.2700 |
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September 6, 2011 |
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4,100 |
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$ |
4.2800 |
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September 6, 2011 |
|
100 |
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$ |
4.2897 |
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September 6, 2011 |
|
100 |
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$ |
4.2898 |
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September 6, 2011 |
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7,199 |
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$ |
4.2900 |
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September 6, 2011 |
|
100 |
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$ |
4.2983 |
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September 6, 2011 |
|
100 |
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$ |
4.2984 |
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September 6, 2011 |
|
100 |
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$ |
4.2992 |
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September 6, 2011 |
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4,402 |
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$ |
4.3000 |
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September 6, 2011 |
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200 |
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$ |
4.3300 |
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September 6, 2011 |
|
600 |
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$ |
4.3400 |
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September 6, 2011 |
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100 |
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$ |
4.3600 |
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September 6, 2011 |
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1,420 |
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$ |
4.3700 |
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September 6, 2011 |
|
400 |
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$ |
4.3800 |
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September 6, 2011 |
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100 |
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$ |
4.3887 |
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September 6, 2011 |
|
480 |
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$ |
4.3900 |
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September 6, 2011 |
|
600 |
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$ |
4.4000 |
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September 6, 2011 |
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100 |
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$ |
4.4195 |
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September 6, 2011 |
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1,480 |
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$ |
4.4200 |
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September 6, 2011 |
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100 |
|
$ |
4.4300 |
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September 6, 2011 |
|
820 |
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$ |
4.4500 |
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September 6, 2011 |
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2,184 |
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$ |
4.4700 |
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September 6, 2011 |
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3,000 |
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$ |
4.4800 |
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Date of Transaction |
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Number of Shares |
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Price Per |
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September 6, 2011 |
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200 |
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$ |
4.4825 |
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September 6, 2011 |
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100 |
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$ |
4.4850 |
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September 6, 2011 |
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1,200 |
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$ |
4.4900 |
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September 6, 2011 |
|
400 |
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$ |
4.4925 |
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September 6, 2011 |
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1,216 |
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$ |
4.5000 |
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September 6, 2011 |
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1,500 |
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$ |
4.5100 |
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September 6, 2011 |
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1,100 |
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$ |
4.5200 |
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September 6, 2011 |
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100 |
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$ |
4.5250 |
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September 6, 2011 |
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1,400 |
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$ |
4.5300 |
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September 6, 2011 |
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100 |
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$ |
4.5380 |
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September 6, 2011 |
|
100 |
|
$ |
4.5391 |
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September 6, 2011 |
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1,200 |
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$ |
4.5400 |
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September 6, 2011 |
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100 |
|
$ |
4.5475 |
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September 6, 2011 |
|
100 |
|
$ |
4.5488 |
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September 6, 2011 |
|
100 |
|
$ |
4.5498 |
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September 6, 2011 |
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1,500 |
|
$ |
4.5500 |
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September 6, 2011 |
|
100 |
|
$ |
4.5584 |
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September 6, 2011 |
|
3,700 |
|
$ |
4.5600 |
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September 6, 2011 |
|
100 |
|
$ |
4.5668 |
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September 6, 2011 |
|
2,900 |
|
$ |
4.5700 |
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September 6, 2011 |
|
4,000 |
|
$ |
4.5800 |
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September 6, 2011 |
|
100 |
|
$ |
4.5877 |
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September 6, 2011 |
|
600 |
|
$ |
4.5900 |
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September 6, 2011 |
|
100 |
|
$ |
4.5996 |
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September 6, 2011 |
|
3,000 |
|
$ |
4.6000 |
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September 6, 2011 |
|
100 |
|
$ |
4.6079 |
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September 6, 2011 |
|
100 |
|
$ |
4.6096 |
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September 6, 2011 |
|
200 |
|
$ |
4.6098 |
|
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September 6, 2011 |
|
8,749 |
|
$ |
4.6100 |
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September 6, 2011 |
|
100 |
|
$ |
4.6186 |
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September 6, 2011 |
|
100 |
|
$ |
4.6189 |
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September 6, 2011 |
|
100 |
|
$ |
4.6192 |
|
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September 6, 2011 |
|
100 |
|
$ |
4.6199 |
|
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September 6, 2011 |
|
1,251 |
|
$ |
4.6200 |
|
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September 6, 2011 |
|
100 |
|
$ |
4.6279 |
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September 6, 2011 |
|
1,500 |
|
$ |
4.6300 |
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September 6, 2011 |
|
100 |
|
$ |
4.6388 |
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September 6, 2011 |
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13,300 |
|
$ |
4.6400 |
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September 6, 2011 |
|
100 |
|
$ |
4.6486 |
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September 6, 2011 |
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100 |
|
$ |
4.6495 |
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September 6, 2011 |
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100 |
|
$ |
4.6496 |
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September 6, 2011 |
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4,900 |
|
$ |
4.6500 |
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September 6, 2011 |
|
100 |
|
$ |
4.6585 |
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September 6, 2011 |
|
100 |
|
$ |
4.6678 |
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September 6, 2011 |
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100 |
|
$ |
4.6679 |
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September 6, 2011 |
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100 |
|
$ |
4.6693 |
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September 6, 2011 |
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1,100 |
|
$ |
4.6700 |
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September 6, 2011 |
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100 |
|
$ |
4.6788 |
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Date of Transaction |
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Number of Shares |
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Price Per |
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September 6, 2011 |
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100 |
|
$ |
4.6795 |
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September 6, 2011 |
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1,000 |
|
$ |
4.6800 |
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September 6, 2011 |
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100 |
|
$ |
4.6886 |
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September 6, 2011 |
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3,700 |
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$ |
4.6900 |
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September 6, 2011 |
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100 |
|
$ |
4.6998 |
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September 6, 2011 |
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11,200 |
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$ |
4.7000 |
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September 6, 2011 |
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400 |
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$ |
4.7100 |
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September 6, 2011 |
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300 |
|
$ |
4.7125 |
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September 6, 2011 |
|
400 |
|
$ |
4.7200 |
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September 6, 2011 |
|
200 |
|
$ |
4.7225 |
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September 6, 2011 |
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3,600 |
|
$ |
4.7300 |
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September 6, 2011 |
|
100 |
|
$ |
4.7393 |
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September 6, 2011 |
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1,300 |
|
$ |
4.7400 |
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September 6, 2011 |
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100 |
|
$ |
4.7489 |
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September 6, 2011 |
|
10,900 |
|
$ |
4.7500 |
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September 7, 2011 |
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300 |
|
$ |
4.6200 |
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September 7, 2011 |
|
1,400 |
|
$ |
4.6300 |
|
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September 7, 2011 |
|
1,420 |
|
$ |
4.6400 |
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September 7, 2011 |
|
100 |
|
$ |
4.6500 |
|
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September 7, 2011 |
|
180 |
|
$ |
4.6525 |
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September 7, 2011 |
|
850 |
|
$ |
4.6600 |
|
|
September 7, 2011 |
|
1,800 |
|
$ |
4.6700 |
|
|
September 7, 2011 |
|
1,400 |
|
$ |
4.6800 |
|
|
September 7, 2011 |
|
400 |
|
$ |
4.6850 |
|
|
September 7, 2011 |
|
100 |
|
$ |
4.6875 |
|
|
September 7, 2011 |
|
100 |
|
$ |
4.6896 |
|
|
September 7, 2011 |
|
100 |
|
$ |
4.6898 |
|
|
September 7, 2011 |
|
100 |
|
$ |
4.6899 |
|
|
September 7, 2011 |
|
1,576 |
|
$ |
4.6900 |
|
|
September 7, 2011 |
|
50 |
|
$ |
4.6950 |
|
|
September 7, 2011 |
|
100 |
|
$ |
4.6983 |
|
|
September 7, 2011 |
|
100 |
|
$ |
4.6992 |
|
|
September 7, 2011 |
|
1,424 |
|
$ |
4.7000 |
|
|
September 7, 2011 |
|
100 |
|
$ |
4.7075 |
|
|
September 7, 2011 |
|
1,100 |
|
$ |
4.7100 |
|
|
September 7, 2011 |
|
2,300 |
|
$ |
4.7200 |
|
|
September 7, 2011 |
|
6,100 |
|
$ |
4.7300 |
|
|
September 7, 2011 |
|
100 |
|
$ |
4.7380 |
|
|
September 7, 2011 |
|
200 |
|
$ |
4.7383 |
|
|
September 7, 2011 |
|
100 |
|
$ |
4.7384 |
|
|
September 7, 2011 |
|
100 |
|
$ |
4.7393 |
|
|
September 7, 2011 |
|
100 |
|
$ |
4.7395 |
|
|
September 7, 2011 |
|
100 |
|
$ |
4.7397 |
|
|
September 7, 2011 |
|
100 |
|
$ |
4.7399 |
|
|
September 7, 2011 |
|
3,211 |
|
$ |
4.7400 |
|
|
September 7, 2011 |
|
100 |
|
$ |
4.7425 |
|
|
September 7, 2011 |
|
3,289 |
|
$ |
4.7500 |
|
|
September 7, 2011 |
|
200 |
|
$ |
4.7596 |
|
|
Date of Transaction |
|
Number of Shares |
|
Price Per |
| |
|
September 7, 2011 |
|
865 |
|
$ |
4.7600 |
|
|
September 7, 2011 |
|
200 |
|
$ |
4.7650 |
|
|
September 7, 2011 |
|
100 |
|
$ |
4.7681 |
|
|
September 7, 2011 |
|
1,950 |
|
$ |
4.7700 |
|
|
September 7, 2011 |
|
1,235 |
|
$ |
4.7800 |
|
|
September 7, 2011 |
|
100 |
|
$ |
4.7891 |
|
|
September 7, 2011 |
|
1,550 |
|
$ |
4.7900 |
|
|
September 7, 2011 |
|
100 |
|
$ |
4.7979 |
|
|
September 7, 2011 |
|
100 |
|
$ |
4.7994 |
|
|
September 7, 2011 |
|
700 |
|
$ |
4.8000 |
|
|
September 7, 2011 |
|
400 |
|
$ |
4.8100 |
|
|
September 7, 2011 |
|
200 |
|
$ |
4.8150 |
|
|
September 7, 2011 |
|
500 |
|
$ |
4.8200 |
|
|
September 7, 2011 |
|
100 |
|
$ |
4.8300 |
|
|
September 7, 2011 |
|
1,600 |
|
$ |
4.8400 |
|
|
September 7, 2011 |
|
2,600 |
|
$ |
4.8500 |
|
|
September 7, 2011 |
|
100 |
|
$ |
4.8579 |
|
|
September 7, 2011 |
|
1,100 |
|
$ |
4.8600 |
|
|
September 7, 2011 |
|
100 |
|
$ |
4.8684 |
|
|
September 7, 2011 |
|
93 |
|
$ |
4.8695 |
|
|
September 7, 2011 |
|
200 |
|
$ |
4.8696 |
|
|
September 7, 2011 |
|
1,707 |
|
$ |
4.8700 |
|
|
September 7, 2011 |
|
91 |
|
$ |
4.8800 |
|
|
September 7, 2011 |
|
2,396 |
|
$ |
4.8900 |
|
|
September 7, 2011 |
|
1,122 |
|
$ |
4.9000 |
|
|
September 7, 2011 |
|
3,280 |
|
$ |
4.9100 |
|
|
September 7, 2011 |
|
100 |
|
$ |
4.9197 |
|
|
September 7, 2011 |
|
5,302 |
|
$ |
4.9200 |
|
|
September 7, 2011 |
|
2,100 |
|
$ |
4.9300 |
|
|
September 7, 2011 |
|
100 |
|
$ |
4.9391 |
|
|
September 7, 2011 |
|
100 |
|
$ |
4.9392 |
|
|
September 7, 2011 |
|
2,300 |
|
$ |
4.9400 |
|
|
September 7, 2011 |
|
3,229 |
|
$ |
4.9500 |
|
|
September 7, 2011 |
|
5,271 |
|
$ |
4.9600 |
|
|
September 7, 2011 |
|
100 |
|
$ |
4.9696 |
|
|
September 7, 2011 |
|
3,209 |
|
$ |
4.9700 |
|
|
September 8, 2011 |
|
3,700 |
|
$ |
5.2500 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.2493 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.2487 |
|
|
September 8, 2011 |
|
155 |
|
$ |
5.2425 |
|
|
September 8, 2011 |
|
3,145 |
|
$ |
5.2400 |
|
|
September 8, 2011 |
|
2,400 |
|
$ |
5.2300 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.2299 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.2298 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.2293 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.2281 |
|
|
September 8, 2011 |
|
200 |
|
$ |
5.2250 |
|
|
September 8, 2011 |
|
600 |
|
$ |
5.2200 |
|
|
Date of Transaction |
|
Number of Shares |
|
Price Per |
| |
|
September 8, 2011 |
|
100 |
|
$ |
5.2167 |
|
|
September 8, 2011 |
|
300 |
|
$ |
5.2125 |
|
|
September 8, 2011 |
|
800 |
|
$ |
5.2100 |
|
|
September 8, 2011 |
|
500 |
|
$ |
5.2000 |
|
|
September 8, 2011 |
|
2,500 |
|
$ |
5.1900 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.1896 |
|
|
September 8, 2011 |
|
3,700 |
|
$ |
5.1800 |
|
|
September 8, 2011 |
|
4,100 |
|
$ |
5.1700 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.1693 |
|
|
September 8, 2011 |
|
200 |
|
$ |
5.1625 |
|
|
September 8, 2011 |
|
2,556 |
|
$ |
5.1600 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.1595 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.1588 |
|
|
September 8, 2011 |
|
5,200 |
|
$ |
5.1500 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.1499 |
|
|
September 8, 2011 |
|
200 |
|
$ |
5.1496 |
|
|
September 8, 2011 |
|
200 |
|
$ |
5.1494 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.1493 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.1492 |
|
|
September 8, 2011 |
|
200 |
|
$ |
5.1484 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.1482 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.1475 |
|
|
September 8, 2011 |
|
44 |
|
$ |
5.1450 |
|
|
September 8, 2011 |
|
5,308 |
|
$ |
5.1400 |
|
|
September 8, 2011 |
|
200 |
|
$ |
5.1398 |
|
|
September 8, 2011 |
|
200 |
|
$ |
5.1397 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.1394 |
|
|
September 8, 2011 |
|
300 |
|
$ |
5.1350 |
|
|
September 8, 2011 |
|
4,592 |
|
$ |
5.1300 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.1295 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.1293 |
|
|
September 8, 2011 |
|
9,026 |
|
$ |
5.1200 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.1197 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.1194 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.1192 |
|
|
September 8, 2011 |
|
702 |
|
$ |
5.1100 |
|
|
September 8, 2011 |
|
1,392 |
|
$ |
5.1000 |
|
|
September 8, 2011 |
|
2,098 |
|
$ |
5.0900 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.0899 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.0867 |
|
|
September 8, 2011 |
|
802 |
|
$ |
5.0800 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.0780 |
|
|
September 8, 2011 |
|
1,300 |
|
$ |
5.0700 |
|
|
September 8, 2011 |
|
4,528 |
|
$ |
5.0600 |
|
|
September 8, 2011 |
|
200 |
|
$ |
5.0599 |
|
|
September 8, 2011 |
|
200 |
|
$ |
5.0598 |
|
|
September 8, 2011 |
|
400 |
|
$ |
5.0594 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.0592 |
|
|
Date of Transaction |
|
Number of Shares |
|
Price Per |
| |
|
September 8, 2011 |
|
100 |
|
$ |
5.0585 |
|
|
September 8, 2011 |
|
100 |
|
$ |
5.0584 |
|
|
September 8, 2011 |
|
3,172 |
|
$ |
5.0500 |
|
|
September 8, 2011 |
|
900 |
|
$ |
5.0400 |
|
|
September 8, 2011 |
|
599 |
|
$ |
5.0300 |
|
|
September 8, 2011 |
|
200 |
|
$ |
5.0200 |
|
|
September 8, 2011 |
|
81 |
|
$ |
5.0150 |
|
|
September 8, 2011 |
|
398 |
|
$ |
5.0100 |
|
|
September 8, 2011 |
|
602 |
|
$ |
5.0000 |
|
|
September 8, 2011 |
|
1,300 |
|
$ |
4.9900 |
|
|
September 8, 2011 |
|
100 |
|
$ |
4.9850 |
|
|
September 8, 2011 |
|
200 |
|
$ |
4.9800 |
|
|
September 8, 2011 |
|
400 |
|
$ |
4.9700 |
|
|
September 8, 2011 |
|
200 |
|
$ |
4.9600 |
|
|
September 8, 2011 |
|
300 |
|
$ |
4.9500 |
|
|
September 8, 2011 |
|
1,000 |
|
$ |
4.9000 |
|
|
September 9, 2011 |
|
100 |
|
$ |
5.0800 |
|
|
September 9, 2011 |
|
400 |
|
$ |
5.1400 |
|
|
September 9, 2011 |
|
700 |
|
$ |
5.1500 |
|
|
September 9, 2011 |
|
200 |
|
$ |
5.1600 |
|
|
September 9, 2011 |
|
163 |
|
$ |
5.1700 |
|
|
September 9, 2011 |
|
1,637 |
|
$ |
5.1800 |
|
|
September 9, 2011 |
|
200 |
|
$ |
5.1900 |
|
|
September 9, 2011 |
|
600 |
|
$ |
5.2000 |
|
|
September 9, 2011 |
|
200 |
|
$ |
5.2100 |
|
|
September 9, 2011 |
|
1,158 |
|
$ |
5.2200 |
|
|
September 9, 2011 |
|
100 |
|
$ |
5.2275 |
|
|
September 9, 2011 |
|
1,837 |
|
$ |
5.2300 |
|
|
September 9, 2011 |
|
1,741 |
|
$ |
5.2400 |
|
|
September 9, 2011 |
|
200 |
|
$ |
5.2495 |
|
|
September 9, 2011 |
|
100 |
|
$ |
5.2496 |
|
|
September 9, 2011 |
|
200 |
|
$ |
5.2498 |
|
|
September 9, 2011 |
|
5,664 |
|
$ |
5.2500 |
|
|
September 12, 2011 |
|
3,622 |
|
$ |
5.2500 |
|
|
September 12, 2011 |
|
621 |
|
$ |
5.2400 |
|
|
September 12, 2011 |
|
100 |
|
$ |
5.2399 |
|
|
September 12, 2011 |
|
100 |
|
$ |
5.2396 |
|
|
September 12, 2011 |
|
1,100 |
|
$ |
5.2300 |
|
|
September 12, 2011 |
|
100 |
|
$ |
5.2299 |
|
|
September 12, 2011 |
|
100 |
|
$ |
5.2294 |
|
|
September 12, 2011 |
|
100 |
|
$ |
5.2290 |
|
|
September 12, 2011 |
|
100 |
|
$ |
5.2287 |
|
|
September 12, 2011 |
|
1,700 |
|
$ |
5.2200 |
|
|
September 12, 2011 |
|
300 |
|
$ |
5.2100 |
|
|
September 12, 2011 |
|
1,979 |
|
$ |
5.2000 |
|
|
September 12, 2011 |
|
2,132 |
|
$ |
5.1900 |
|
|
September 12, 2011 |
|
100 |
|
$ |
5.1894 |
|
|
September 12, 2011 |
|
200 |
|
$ |
5.1888 |
|
|
Date of Transaction |
|
Number of Shares |
|
Price Per |
| |
|
September 12, 2011 |
|
3,000 |
|
$ |
5.1800 |
|
|
September 12, 2011 |
|
100 |
|
$ |
5.1799 |
|
|
September 12, 2011 |
|
100 |
|
$ |
5.1792 |
|
|
September 12, 2011 |
|
100 |
|
$ |
5.1790 |
|
|
September 12, 2011 |
|
100 |
|
$ |
5.1788 |
|
|
September 12, 2011 |
|
200 |
|
$ |
5.1782 |
|
|
September 12, 2011 |
|
100 |
|
$ |
5.1778 |
|
|
September 12, 2011 |
|
100 |
|
$ |
5.1772 |
|
|
September 12, 2011 |
|
2,168 |
|
$ |
5.1700 |
|
|
September 12, 2011 |
|
100 |
|
$ |
5.1693 |
|
|
September 12, 2011 |
|
100 |
|
$ |
5.1689 |
|
|
September 12, 2011 |
|
100 |
|
$ |
5.1687 |
|
|
September 12, 2011 |
|
1,469 |
|
$ |
5.1600 |
|
|
September 12, 2011 |
|
100 |
|
$ |
5.1588 |
|
|
September 12, 2011 |
|
1,000 |
|
$ |
5.1500 |
|
|
September 12, 2011 |
|
617 |
|
$ |
5.1400 |
|
|
September 12, 2011 |
|
100 |
|
$ |
5.1393 |
|
|
September 12, 2011 |
|
1,400 |
|
$ |
5.1300 |
|
|
September 12, 2011 |
|
100 |
|
$ |
5.1285 |
|
|
September 12, 2011 |
|
100 |
|
$ |
5.1276 |
|
|
September 12, 2011 |
|
2,509 |
|
$ |
5.1200 |
|
|
September 12, 2011 |
|
100 |
|
$ |
5.1185 |
|
|
September 12, 2011 |
|
100 |
|
$ |
5.1182 |
|
|
September 12, 2011 |
|
1,283 |
|
$ |
5.1100 |
|
|
September 12, 2011 |
|
1,200 |
|
$ |
5.1000 |
|
|
September 12, 2011 |
|
100 |
|
$ |
5.0900 |
|
|
September 12, 2011 |
|
200 |
|
$ |
5.0700 |
|
|
September 12, 2011 |
|
100 |
|
$ |
5.0685 |
|
|
September 12, 2011 |
|
100 |
|
$ |
5.0681 |
|
|
September 13, 2011 |
|
6,400 |
|
$ |
5.2500 |
|
|
September 13, 2011 |
|
100 |
|
$ |
5.2491 |
|
|
September 13, 2011 |
|
200 |
|
$ |
5.2475 |
|
|
September 13, 2011 |
|
40 |
|
$ |
5.2425 |
|
|
September 13, 2011 |
|
1,760 |
|
$ |
5.2400 |
|
|
September 13, 2011 |
|
100 |
|
$ |
5.2377 |
|
|
September 13, 2011 |
|
1,100 |
|
$ |
5.2300 |
|
|
September 13, 2011 |
|
100 |
|
$ |
5.2289 |
|
|
September 13, 2011 |
|
100 |
|
$ |
5.2283 |
|
|
September 13, 2011 |
|
500 |
|
$ |
5.2200 |
|
|
September 13, 2011 |
|
100 |
|
$ |
5.2197 |
|
|
September 13, 2011 |
|
100 |
|
$ |
5.2178 |
|
|
September 13, 2011 |
|
980 |
|
$ |
5.2100 |
|
|
September 13, 2011 |
|
100 |
|
$ |
5.2080 |
|
|
September 13, 2011 |
|
720 |
|
$ |
5.2000 |
|
|
September 13, 2011 |
|
100 |
|
$ |
5.1998 |
|
|
September 13, 2011 |
|
300 |
|
$ |
5.1900 |
|
|
September 13, 2011 |
|
200 |
|
$ |
5.1700 |
|
|
Total |
|
357,400 |
|
|
| |