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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 02-Jan-15 1:35 PM View:  | SWS Group Inc. (SWS) | 01-Jan-15 | Disposition | 41,467 | -- | -- | (4%) 1.01M to 972.08K | |
| 02-Jan-15 1:35 PM View: | SWS Group Inc. (SWS) | 01-Jan-15 | Disposition | 972,083 | -- | -- | (100%) 972.08K to 0 | |
| 18-Nov-13 4:35 PM View: | SWS Group Inc. (SWS) | 14-Nov-13 | Grant | 5,963 | -- | -- | < 1% 1.01M to 1.01M | |
| 26-Nov-12 5:21 PM View: | SWS Group Inc. (SWS) | 21-Nov-12 | Grant | 7,231 | -- | -- | < 1% 1.0M to 1.01M | |
| 21-Nov-11 5:00 PM View: | SWS Group Inc. (SWS) | 17-Nov-11 | Grant | 6,731 | -- | -- | < 1% 993.63K to 1.0M | |
| 19-Nov-10 5:45 PM View: | SWS Group Inc. (SWS) | 18-Nov-10 | Grant | 5,663 | -- | -- | < 1% 987.96K to 993.63K | |
| 26-Aug-09 6:14 PM View: | SWS Group Inc. (SWS) | 24-Aug-09 | Grant | 2,000 | -- | -- | < 1% 985.96K to 987.96K | |
| 26-Aug-08 5:19 PM View: | SWS Group Inc. (SWS) | 25-Aug-08 | Grant | 2,000 | -- | -- | < 1% 983.96K to 985.96K | |
| 15-Aug-08 4:44 PM View: | SWS Group Inc. (SWS) | 13-Aug-08 | Gift | 530 | -- | -- | (< 1%) 984.49K to 983.96K | |
| 31-Oct-07 5:50 PM View: | SWS Group Inc. (SWS) | 30-Oct-07 | Exercise (in-the money or at-the-money) | 3,000 | $8.65 | $25,959.90 | < 1% 981.49K to 984.49K | |
| 27-Aug-07 5:21 PM View: | SWS Group Inc. (SWS) | 24-Aug-07 | Grant | 1,500 | -- | -- | < 1% 979.99K to 981.49K | |
| 03-May-07 5:02 PM View: | SWS Group Inc. (SWS) | 01-May-07 | Market Sale (Planned) | 7,600 | $25.58 | $194,408.00 | (< 1%) 987.59K to 979.99K | 76% |
| 03-May-07 5:02 PM View: | SWS Group Inc. (SWS) | 01-May-07 | Market Sale (Planned) | 17,400 | $25.53 | $444,232.00 | (2%) 997.08K to 979.68K | 76% |
| 04-Apr-07 5:11 PM View: | SWS Group Inc. (SWS) | 03-Apr-07 | Market Sale (Planned) | 25,000 | $25.04 | $625,985.00 | (2%) 1.03M to 1.0M | 76% |
| 07-Mar-07 5:12 PM View: | SWS Group Inc. (SWS) | 06-Mar-07 | Market Sale (Planned) | 25,000 | $25.12 | $627,903.00 | (2%) 1.05M to 1.03M | 76% |
| 22-Feb-07 4:41 PM View: | SWS Group Inc. (SWS) | 20-Feb-07 | Market Sale | 13,800 | $29.36 | $405,202.00 | (1%) 1.07M to 1.05M | 79% |
| 16-Feb-07 5:25 PM View: | SWS Group Inc. (SWS) | 14-Feb-07 | Market Sale | 1,700 | $29.23 | $49,691.00 | (< 1%) 1.07M to 1.07M | 79% |
| 01-Nov-06 6:03 PM View: | SWS Group Inc. (SWS) | 31-Oct-06 | Option Exercise | 2,458 | $15.78 | $38,789.70 | < 1% 711.2K to 713.66K | |
| 31-Oct-06 6:09 PM View: | SWS Group Inc. (SWS) | 31-Oct-06 | Market Sale (Planned) | 44,139 | $28.11 | $1,240,640.00 | (6%) 755.34K to 711.2K | 78% |
| 27-Sep-06 6:03 PM View: | SWS Group Inc. (SWS) | 26-Sep-06 | Market Sale (Planned) | 6,800 | $24.48 | $166,459.00 | (< 1%) 762.14K to 755.34K | 75% |
| 27-Sep-06 6:03 PM View: | SWS Group Inc. (SWS) | 26-Sep-06 | Market Sale (Planned) | 8,200 | $24.27 | $198,992.00 | (1%) 770.34K to 762.14K | 75% |
| 31-Aug-06 5:15 PM View: | SWS Group Inc. (SWS) | 29-Aug-06 | Market Sale (Planned) | 10,600 | $24.61 | $260,863.00 | (1%) 780.94K to 770.34K | 75% |
| 31-Aug-06 5:15 PM View: | SWS Group Inc. (SWS) | 29-Aug-06 | Market Sale (Planned) | 4,400 | $24.41 | $107,402.00 | (< 1%) 785.34K to 780.94K | 75% |
| 29-Aug-06 5:28 PM View: | SWS Group Inc. (SWS) | 25-Aug-06 | Grant | 1,000 | -- | -- | < 1% 784.34K to 785.34K | |
| 31-Jul-06 6:02 AM View: | SWS Group Inc. (SWS) | 27-Jul-06 | Market Sale (Planned) | 8,300 | $25.03 | $207,743.00 | (1%) 792.64K to 784.34K | 75% |
| 31-Jul-06 6:04 AM View: | SWS Group Inc. (SWS) | 27-Jul-06 | Market Sale (Planned) | 11,700 | $24.82 | $290,406.00 | (1%) 804.34K to 792.64K | 75% |
| 26-Jul-06 6:15 PM View: | SWS Group Inc. (SWS) | 25-Jul-06 | Market Sale (Planned) | 15,000 | $24.23 | $363,382.00 | (2%) 819.34K to 804.34K | 75% |
| 30-Jun-06 4:48 PM View: | SWS Group Inc. (SWS) | 29-Jun-06 | Market Sale (Planned) | 10,000 | $22.80 | $227,997.00 | (1%) 829.34K to 819.34K | 73% |
| 31-May-06 5:49 PM View: | SWS Group Inc. (SWS) | 30-May-06 | Market Sale (Planned) | 15,000 | $23.74 | $356,093.00 | (2%) 844.34K to 829.34K | 73% |
| 26-May-06 6:25 PM View: | SWS Group Inc. (SWS) | 25-May-06 | Market Sale | 10,000 | $23.60 | $235,979.00 | (1%) 854.34K to 844.34K | 73% |
| 01-May-06 6:30 PM View: | SWS Group Inc. (SWS) | 27-Apr-06 | Market Sale (Planned) | 11,400 | $27.39 | $312,281.00 | (1%) 884.34K to 872.94K | 77% |
| 01-May-06 6:32 PM View: | SWS Group Inc. (SWS) | 27-Apr-06 | Market Sale (Planned) | 18,600 | $27.47 | $510,974.00 | (2%) 872.94K to 854.34K | 77% |
| 26-Apr-06 4:58 PM View: | SWS Group Inc. (SWS) | 25-Apr-06 | Market Sale (Planned) | 44,200 | $27.23 | $1,203,760.00 | (5%) 928.54K to 884.34K | 77% |
| 05-Apr-06 7:28 PM View: | SWS Group Inc. (SWS) | 30-Mar-06 | Market Sale (Planned) | 9,300 | $25.65 | $238,587.00 | (< 1%) 948.54K to 939.24K | 75% |
| 05-Apr-06 7:28 PM View: | SWS Group Inc. (SWS) | 30-Mar-06 | Market Sale (Planned) | 10,700 | $25.53 | $273,175.00 | (1%) 939.24K to 928.54K | 75% |
| 05-Apr-06 7:28 PM View: | SWS Group Inc. (SWS) | 28-Mar-06 | Market Sale (Planned) | 6,900 | $24.88 | $171,687.00 | (< 1%) 955.44K to 948.54K | 74% |
| 05-Apr-06 7:28 PM View: | SWS Group Inc. (SWS) | 28-Mar-06 | Market Sale (Planned) | 8,100 | $25.01 | $202,575.00 | (< 1%) 963.54K to 955.44K | 75% |
| 05-Apr-06 7:28 PM View: | SWS Group Inc. (SWS) | 27-Jan-06 | Market Sale | 5,800 | $23.46 | $136,070.00 | (< 1%) 969.34K to 963.54K | 73% |
| 29-Aug-05 8:20 PM View: | SWS Group Inc. (SWS) | 25-Aug-05 | Grant | 601 | -- | -- | < 1% 709.6K to 710.2K | |
| 05-Apr-06 7:28 PM View: | SWS Group Inc. (SWS) | 27-Dec-04 | Market Sale | 11,600 | $22.39 | $259,705.00 | (1%) 980.94K to 969.34K | 71% |
| 05-Apr-06 7:28 PM View: | SWS Group Inc. (SWS) | 22-Dec-04 | Market Sale | 6,000 | $22.37 | $134,211.00 | (< 1%) 986.94K to 980.94K | 71% |
| 05-Apr-06 7:28 PM View: | SWS Group Inc. (SWS) | 21-Dec-04 | Market Sale | 10,000 | $22.28 | $222,846.00 | (1%) 996.94K to 986.94K | 71% |
| 05-Apr-06 7:28 PM View: | SWS Group Inc. (SWS) | 16-Dec-04 | Market Sale | 2,100 | $22.75 | $47,775.00 | (< 1%) 999.04K to 996.94K | 72% |
| 05-Apr-06 7:28 PM View: | SWS Group Inc. (SWS) | 15-Dec-04 | Market Sale | 14,900 | $22.75 | $338,975.00 | (1%) 1.01M to 999.04K | 72% |
| 05-Apr-06 7:28 PM View: | SWS Group Inc. (SWS) | 14-Dec-04 | Market Sale | 100 | $22.75 | $2,275.00 | (< 1%) 1.01M to 1.01M | 72% |
| 05-Nov-04 5:09 PM View: | SWS Group Inc. (SWS) | 02-Nov-04 | Market Sale | 2,974 | $18.84 | $56,030.70 | (71%) 4.19K to 1.21K | 66% |
| 05-Nov-04 5:09 PM View: | SWS Group Inc. (SWS) | 02-Nov-04 | Exercise (in-the money or at-the-money) | 2,974 | $17.98 | $53,472.50 | 245% 1.21K to 4.19K | (64%) |
| 20-Aug-04 10:00 PM View: | SWS Group Inc. (SWS) | 18-Aug-04 | Grant | 722 | -- | -- | 147% 0.49K to 1.21K | |
| 05-Apr-06 7:28 PM View: | SWS Group Inc. (SWS) | 21-May-04 | Acquisition (other) | 303,839 | -- | -- | 43% 710.2K to 1.01M | |
| 14-Nov-03 10:00 PM View: | SWS Group Inc. (SWS) | 12-Nov-03 | Grant | 492 | -- | -- | < 1% 708.39K to 708.88K |