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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 02-Jan-15 1:31 PM View:  | SWS Group Inc. (SWS) | 01-Jan-15 | Disposition | 45,900 | -- | -- | (79%) 57.77K to 11.88K | |
| 02-Jan-15 1:31 PM View: | SWS Group Inc. (SWS) | 01-Jan-15 | Disposition | 11,875 | -- | -- | (100%) 11.88K to 0 | |
| 22-Aug-14 6:01 PM View: | SWS Group Inc. (SWS) | 21-Aug-14 | Payment of Exercise | 792 | -- | -- | (1%) 58.57K to 57.77K | |
| 22-Aug-14 6:01 PM View: | SWS Group Inc. (SWS) | 20-Aug-14 | Grant | 8,573 | -- | -- | 17% 49.99K to 58.57K | |
| 23-Aug-13 5:00 PM View: | SWS Group Inc. (SWS) | 21-Aug-13 | Grant | 8,993 | -- | -- | 22% 41.0K to 49.99K | |
| 28-Aug-12 6:43 PM View: | SWS Group Inc. (SWS) | 24-Aug-12 | Payment of Exercise | 201 | -- | -- | (< 1%) 41.2K to 41.0K | |
| 06-Feb-12 10:57 AM View: | SWS Group Inc. (SWS) | 02-Feb-12 | Grant | 16,756 | -- | -- | 69% 24.45K to 41.2K | |
| 26-Aug-11 8:51 PM View: | SWS Group Inc. (SWS) | 25-Aug-11 | Payment of Exercise | 224 | -- | -- | (< 1%) 24.67K to 24.45K | |
| 26-Aug-11 8:51 PM View: | SWS Group Inc. (SWS) | 24-Aug-11 | Payment of Exercise | 201 | -- | -- | (< 1%) 24.87K to 24.67K | |
| 26-Aug-11 8:51 PM View: | SWS Group Inc. (SWS) | 30-Jun-11 | Acquisition (small) | 1,066 | -- | -- | 4% 23.8K to 24.87K | |
| 26-Aug-10 7:51 PM View: | SWS Group Inc. (SWS) | 25-Aug-10 | Payment of Exercise | 224 | -- | -- | (< 1%) 28.12K to 27.9K | |
| 26-Aug-10 7:51 PM View: | SWS Group Inc. (SWS) | 24-Aug-10 | Payment of Exercise | 463 | -- | -- | (2%) 28.7K to 28.23K | |
| 26-Aug-10 7:51 PM View: | SWS Group Inc. (SWS) | 30-Jun-10 | Acquisition (small) | 242 | -- | -- | < 1% 28.45K to 28.7K | |
| 26-Aug-09 6:14 PM View: | SWS Group Inc. (SWS) | 25-Aug-09 | Payment of Exercise | 447 | -- | -- | (2%) 24.7K to 24.25K | |
| 26-Aug-09 6:14 PM View: | SWS Group Inc. (SWS) | 24-Aug-09 | Grant | 2,283 | -- | -- | 10% 22.68K to 24.96K | |
| 26-Aug-09 6:14 PM View: | SWS Group Inc. (SWS) | 24-Aug-09 | Payment of Exercise | 262 | -- | -- | (1%) 24.96K to 24.7K | |
| 26-Aug-09 6:14 PM View: | SWS Group Inc. (SWS) | 30-Jun-09 | Acquisition (small) | 804 | -- | -- | 4% 21.87K to 22.68K | |
| 26-Aug-08 5:19 PM View: | SWS Group Inc. (SWS) | 25-Aug-08 | Grant | 2,550 | -- | -- | 13% 20.06K to 22.61K | |
| 26-Aug-08 5:19 PM View: | SWS Group Inc. (SWS) | 25-Aug-08 | Payment of Exercise | 735 | -- | -- | (3%) 22.61K to 21.87K | |
| 26-Aug-08 5:19 PM View: | SWS Group Inc. (SWS) | 30-Jun-08 | Acquisition (small) | 929 | -- | -- | 5% 19.13K to 20.06K | |
| 27-Aug-07 4:37 PM View: | SWS Group Inc. (SWS) | 24-Aug-07 | Grant | 2,976 | -- | -- | 18% 16.15K to 19.13K | |
| 27-Aug-07 4:37 PM View: | SWS Group Inc. (SWS) | 30-Jun-07 | Acquisition (small) | 533 | -- | -- | 3% 15.62K to 16.15K | |
| 14-Feb-07 6:10 PM View: | SWS Group Inc. (SWS) | 13-Feb-07 | Market Sale | 10,000 | $29.00 | $290,000.00 | (39%) 25.62K to 15.62K | 79% |
| 14-Feb-07 6:10 PM View: | SWS Group Inc. (SWS) | 13-Feb-07 | Exercise (in-the money or at-the-money) | 10,000 | $17.37 | $173,672.00 | 64% 15.62K to 25.62K | |
| 17-Nov-06 10:00 PM View: | SWS Group Inc. (SWS) | 17-Nov-06 | Market Sale | 6,415 | $33.00 | $211,695.00 | (38%) 16.83K to 10.41K | 81% |
| 17-Nov-06 10:00 PM View: | SWS Group Inc. (SWS) | 17-Nov-06 | Exercise (in-the money or at-the-money) | 6,415 | -- | -- | 62% 10.41K to 16.83K | |
| 29-Aug-06 5:28 PM View: | SWS Group Inc. (SWS) | 25-Aug-06 | Grant | 1,694 | -- | -- | 19% 8.72K to 10.41K | |
| 17-Aug-06 5:25 PM View: | SWS Group Inc. (SWS) | 30-Jun-06 | Acquisition (small) | 191 | -- | -- | 2% 8.53K to 8.72K | |
| 29-Aug-05 9:01 PM View: | SWS Group Inc. (SWS) | 25-Aug-05 | Grant | 1,892 | -- | -- | 29% 6.64K to 8.53K | |
| 19-Aug-05 9:10 PM View: | SWS Group Inc. (SWS) | 28-Jul-05 | Acquisition (small) | 2 | -- | -- | < 1% 6.63K to 6.64K | |
| 19-Aug-05 9:10 PM View: | SWS Group Inc. (SWS) | 30-Jun-05 | Acquisition (small) | 138 | -- | -- | 2% 6.5K to 6.63K | |
| 19-Aug-05 9:10 PM View: | SWS Group Inc. (SWS) | 12-Nov-04 | Payment of Exercise | 55 | -- | -- | (< 1%) 6.55K to 6.5K | |
| 20-Aug-04 10:00 PM View: | SWS Group Inc. (SWS) | 18-Aug-04 | Grant | 731 | -- | -- | 13% 5.82K to 6.55K | |
| 20-Aug-04 10:00 PM View: | SWS Group Inc. (SWS) | 30-Jun-04 | Acquisition (small) | 379 | -- | -- | 7% 5.44K to 5.82K | |
| 14-Nov-03 10:00 PM View: | SWS Group Inc. (SWS) | 12-Nov-03 | Grant | 615 | -- | -- | 13% 4.83K to 5.44K | |
| 28-Oct-03 10:00 PM View: | SWS Group Inc. (SWS) | 28-Oct-03 | Market Sale | 7,000 | $21.45 | $150,184.00 | (59%) 11.83K to 4.83K | 69% |
| 28-Oct-03 10:00 PM View: | SWS Group Inc. (SWS) | 28-Oct-03 | Exercise (in-the money or at-the-money) | 7,000 | $12.50 | $87,481.00 | 145% 4.83K to 11.83K |