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SWS > SEC Filings for SWS > Form 8-K on 15-Nov-2013All Recent SEC Filings

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Form 8-K for SWS GROUP INC


Submission of Matters to a Vote of Security Holders

ITEM 5.07 Submission of Matters to a Vote of Security Holders.

On November 14, 2013, SWS Group, Inc. (the "Company") held its 2013 Annual Meeting of Stockholders (the "Annual Meeting"). At the Annual Meeting, the Company's stockholders acted upon the matters outlined in the Company's Definitive Proxy Statement on Schedule 14A (the "Proxy Statement") filed with the Securities and Exchange Commission on October 3, 2013. Stockholders representing 28,275,507 shares or 85.5% of the 33,076,003 shares of the Company's common stock outstanding on the record date of September 13, 2013 were present in person or by proxy, representing a quorum for the purposes of the Annual Meeting. Matters voted upon at the Annual Meeting were as follows:

1. The election of ten directors to the Company's Board of Directors to hold office until the Annual Meeting of Stockholders in 2014 and until their respective successors have been elected. There was no solicitation in opposition to the nominees for director, and the Company's stockholders elected all of the nominees. The final tabulation of the votes on this matter was as follows:

      Nominees                   For           Withheld        Abstain       Non-Votes
      James H. Ross            19,332,371       2,597,967            -        6,345,169
      Robert A. Buchholz       19,218,839       2,711,499            -        6,345,169
      Brodie L. Cobb           18,894,478       3,035,860            -        6,345,169
      J. Taylor Crandall       15,781,014       6,149,324            -        6,345,169
      Christie S. Flanagan     19,167,355       2,762,983            -        6,345,169
      Gerald J. Ford           15,852,759       6,077,579            -        6,345,169
      Larry A. Jobe            19,158,337       2,772,001            -        6,345,169
      Tyree B. Miller          19,318,529       2,611,809            -        6,345,169
      Dr. Mike Moses           17,245,063       4,685,275            -        6,345,169
      Joel T. Williams III     17,324,003       4,606,335            -        6,345,169

2. The stockholders did not approve, on an advisory basis, the compensation paid to the Company's named executive officers as disclosed in the Company's Proxy Statement. The final tabulation of votes on this matter was as follows:

                         For:                   9,910,110
                         Against:              10,582,528
                         Abstain:               1,437,700
                         Broker non-votes:      6,345,169

3. The stockholders ratified the selection of Grant Thornton LLP as the Company's independent auditor for fiscal year ending June 30, 2014. The final tabulation of votes on this matter was as follows:

                         For:                  27,935,404
                         Against:                 331,992
                         Abstain:                   8,111
                         Broker non-votes:             -

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