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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 03-Sep-15 5:27 PM View:  | Pmfg, Inc. (PMFG) | 03-Sep-15 | Disposition | 37,135 | -- | -- | (100%) 37.13K to 0 | |
| 14-Jul-14 3:26 PM View: | Pmfg, Inc. (PMFG) | 09-Jul-14 | Grant | 11,049 | $5.43 | $59,996.10 | 42% 26.09K to 37.13K | 9% |
| 23-Jul-13 2:27 PM View: | Pmfg, Inc. (PMFG) | 19-Jul-13 | Grant | 8,086 | $7.42 | $59,998.10 | 45% 18.0K to 26.09K | (20%) |
| 24-Jun-13 12:31 PM View: | Pmfg, Inc. (PMFG) | 21-Jun-13 | Gift | 7,000 | $8.19 | $57,340.00 | (28%) 25.0K to 18.0K | |
| 05-Jul-12 11:56 AM View: | Pmfg, Inc. (PMFG) | 02-Jul-12 | Grant | 6,000 | $8.10 | $48,600.00 | 32% 19.0K to 25.0K | (27%) |
| 01-Dec-11 4:16 PM View: | Pmfg, Inc. (PMFG) | 30-Nov-11 | Disposition | 4,000 | $23.60 | $94,408.00 | (15%) 26.0K to 22.0K | 75% |
| 19-Sep-11 1:11 PM View: | Pmfg, Inc. (PMFG) | 16-Sep-11 | Disposition | 4,000 | $16.00 | $64,000.00 | (18%) 22.0K to 18.0K | 63% |
| 11-Jul-11 5:24 PM View: | Pmfg, Inc. (PMFG) | 08-Jul-11 | Grant | 6,000 | $21.24 | $127,440.00 | 38% 16.0K to 22.0K | (72%) |
| 26-Aug-10 7:55 PM View: | SWS Group Inc. (SWS) | 25-Aug-10 | Payment of Exercise | 359 | -- | -- | (< 1%) 63.92K to 63.56K | |
| 26-Aug-10 7:55 PM View: | SWS Group Inc. (SWS) | 24-Aug-10 | Payment of Exercise | 741 | -- | -- | (1%) 64.84K to 64.1K | |
| 02-Jul-10 3:48 PM View: | Pmfg, Inc. (PMFG) | 01-Jul-10 | Grant | 6,000 | $14.54 | $87,240.00 | 43% 14.0K to 20.0K | (59%) |
| 10-May-10 9:57 AM View: | SWS Group Inc. (SWS) | 10-May-10 | Market Purchase | 400 | $10.56 | $4,224.00 | < 1% 60.92K to 61.32K | (37%) |
| 30-Apr-10 12:34 PM View: | SWS Group Inc. (SWS) | 30-Apr-10 | Market Purchase | 500 | $11.08 | $5,540.00 | < 1% 60.42K to 60.92K | (40%) |
| 26-Aug-09 6:13 PM View: | SWS Group Inc. (SWS) | 25-Aug-09 | Payment of Exercise | 743 | -- | -- | (1%) 61.16K to 60.42K | |
| 26-Aug-09 6:13 PM View: | SWS Group Inc. (SWS) | 24-Aug-09 | Grant | 3,654 | -- | -- | 6% 57.93K to 61.58K | |
| 26-Aug-09 6:13 PM View: | SWS Group Inc. (SWS) | 24-Aug-09 | Payment of Exercise | 419 | -- | -- | (< 1%) 61.58K to 61.16K | |
| 09-Jul-09 7:26 PM View: | Pmfg, Inc. (PMFG) | 09-Jul-09 | Grant | 6,000 | $8.74 | $52,440.00 | 75% 8.0K to 14.0K | (32%) |
| 26-Aug-09 6:13 PM View: | SWS Group Inc. (SWS) | 30-Jun-09 | Acquisition (small) | 347 | -- | -- | < 1% 57.58K to 57.93K | |
| 26-Aug-08 5:19 PM View: | SWS Group Inc. (SWS) | 25-Aug-08 | Grant | 4,079 | -- | -- | 7% 55.2K to 59.28K | |
| 26-Aug-08 5:19 PM View: | SWS Group Inc. (SWS) | 25-Aug-08 | Payment of Exercise | 1,697 | -- | -- | (3%) 59.28K to 57.58K | |
| 18-Jul-08 11:45 AM View: | Peerless Manufacturing Co. (PMFG) | 17-Jul-08 | Grant | 2,000 | $53.21 | $106,420.00 | 100% 2.0K to 4.0K | (9%) |
| 18-Aug-08 6:15 PM View: | SWS Group Inc. (SWS) | 30-Jun-08 | Acquisition (small) | 413 | -- | -- | < 1% 54.79K to 55.2K | |
| 23-May-08 4:16 PM View: | SWS Group Inc. (SWS) | 22-May-08 | Market Sale | 6,816 | $17.43 | $118,813.00 | (11%) 61.6K to 54.79K | 67% |
| 23-May-08 4:16 PM View: | SWS Group Inc. (SWS) | 22-May-08 | Exercise (in-the money or at-the-money) | 9,816 | $8.28 | $81,238.20 | 19% 51.79K to 61.6K | 112% |
| 26-Nov-07 3:07 PM View: | Peerless Manufacturing Co. (PMFG) | 21-Nov-07 | Grant | 2,000 | $36.01 | $72,020.00 | 100% 0 to 2.0K | 29% |
| 28-Aug-07 6:26 PM View: | SWS Group Inc. (SWS) | 27-Aug-07 | Payment of Exercise | 813 | -- | -- | (2%) 52.6K to 51.79K | |
| 27-Aug-07 4:36 PM View: | SWS Group Inc. (SWS) | 24-Aug-07 | Grant | 4,762 | -- | -- | 10% 47.84K to 52.6K | |
| 21-Aug-07 5:48 PM View: | SWS Group Inc. (SWS) | 20-Aug-07 | Payment of Exercise | 171 | -- | -- | (< 1%) 48.01K to 47.84K | |
| 21-Aug-07 5:48 PM View: | SWS Group Inc. (SWS) | 30-Jun-07 | Acquisition (small) | 204 | -- | -- | < 1% 47.8K to 48.01K | |
| 31-May-07 5:08 PM View: | SWS Group Inc. (SWS) | 31-May-07 | Payment of Exercise | 5,130 | $23.99 | $123,069.00 | (10%) 52.93K to 47.8K | 75% |
| 31-May-07 5:08 PM View: | SWS Group Inc. (SWS) | 31-May-07 | Exercise (in-the money or at-the-money) | 9,016 | $9.17 | $82,653.30 | 21% 43.92K to 52.93K | |
| 23-May-07 5:20 PM View: | SWS Group Inc. (SWS) | 22-May-07 | Conversion | 4,328 | -- | -- | 11% 41.13K to 45.46K | |
| 23-May-07 5:20 PM View: | SWS Group Inc. (SWS) | 22-May-07 | Payment of Exercise | 1,541 | $21.53 | $33,177.70 | (3%) 45.46K to 43.92K | 72% |
| 29-Aug-06 5:28 PM View: | SWS Group Inc. (SWS) | 25-Aug-06 | Grant | 2,904 | -- | -- | 12% 24.52K to 27.42K | |
| 17-Aug-06 5:20 PM View: | SWS Group Inc. (SWS) | 30-Jun-06 | Acquisition (small) | 42 | -- | -- | < 1% 24.48K to 24.52K | |
| 17-Nov-05 11:12 AM View: | SWS Group Inc. (SWS) | 17-Nov-05 | Market Purchase | 1,000 | $19.73 | $19,725.00 | 4% 23.48K to 24.48K | (68%) |
| 29-Aug-05 9:11 PM View: | SWS Group Inc. (SWS) | 25-Aug-05 | Grant | 3,244 | -- | -- | 16% 20.23K to 23.48K | |
| 19-Aug-05 8:40 PM View: | SWS Group Inc. (SWS) | 30-Jun-05 | Acquisition (small) | 6 | -- | -- | < 1% 20.23K to 20.23K | |
| 05-May-05 3:09 PM View: | SWS Group Inc. (SWS) | 05-May-05 | Market Purchase | 1,000 | $17.00 | $17,000.00 | 5% 19.23K to 20.23K | (62%) |
| 20-Aug-04 10:00 PM View: | SWS Group Inc. (SWS) | 18-Aug-04 | Grant | 1,300 | -- | -- | 16% 7.89K to 9.19K | |
| 20-Aug-04 10:00 PM View: | SWS Group Inc. (SWS) | 30-Jun-04 | Acquisition (small) | 165 | -- | -- | 2% 7.72K to 7.89K | |
| 14-Nov-03 10:00 PM View: | SWS Group Inc. (SWS) | 12-Nov-03 | Grant | 1,230 | -- | -- | 7% 16.53K to 17.76K |