SWS Group Inc. (SWS)

FINANCE: GENERAL FINANCE
SIC: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES
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SUITE 3500 DALLAS, TX 75270

SWS Group is a financial services holding company focused on delivering a range of services to individual, corporate and institutional investors, broker/dealers, governmental entities and financial intermediaries. Co. operates four segments: clearing, which provides clearing and execution services for other broker/dealers; retail, which includes the sale of retail securities, insurance products and managed accounts; institutional, which consists of businesses serving institutional customers in the areas of securities borrowing and lending, municipal finance, investment banking, fixed income sales and equity trading; and banking, which provides banking products and services.

View SEC Filings from SWS instead.
Q3 2020 All 13F Filers Prior Change Hedge Funds 1 Prior Change
No data found for this quarter.
1 hedge funds and active managers as identified by whalewisdom.com through public filings.

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Funds Holding SWS (via 13F filings)

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*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding SWS BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

THOMPSON W NORMAN CIO

  • Officer
No longer subject to file 2015-01-01 0

FORD GERALD J

  • Director
No longer subject to file 2015-01-01 0

LELAND DANIEL EXECUTIVE VICE PRESIDENT

  • Officer
No longer subject to file 2015-01-01 0

HILLTOP HOLDINGS INC.

  • 10% Owner
No longer subject to file 2015-01-01 0

ROSS JAMES H PRESIDENT AND CEO

  • Officer
  • Director
No longer subject to file 2015-01-01 0

JOBE LARRY A

  • Director
No longer subject to file 2015-01-01 0

LITTON RICHARD H EXECUTIVE VICE PRESIDENT

  • Officer
No longer subject to file 2015-01-01 0

BUCHHOLZ ROBERT A

  • Director
No longer subject to file 2015-01-01 0

WILLIAMS JOEL T. III

  • Director
No longer subject to file 2015-01-01 0

MOSES MICHAEL A

  • Director
No longer subject to file 2015-01-01 0

COBB BRODIE L

  • Director
No longer subject to file 2015-01-01 0

MILLER TYREE B

  • Director
No longer subject to file 2015-01-01 0

FLANAGAN CHRISTIE S

  • Director
No longer subject to file 2015-01-01 0

LEVENTHAL LAURA CONTROLLER

  • Officer
No longer subject to file 2015-01-01 0

TUBB ALLEN R SECRETARY

  • Officer
No longer subject to file 2015-01-01 0

EDGE JOSEPH MICHAEL II SENIOR VICE PRESIDENT, CFO

  • Officer
No longer subject to file 2015-01-01 0

OAK HILL CAPITAL MANAGEMENT, LLC

OHCM MANAGEMENT, LLC

  • 10% Owner
No longer subject to file 2015-01-01 0

OHCP MGP III, LTD.

OAK HILL CAPITAL PARTNERS III, L.P.

OAK HILL CAPITAL MANAGEMENT PARTNERS III, L.P.

OHCP GENPAR III, L.P.

OHCP MGP PARTNERS III, L.P.

  • 10% Owner
No longer subject to file 2015-01-01 0

CRANDALL J TAYLOR

  • Director
0 2014-11-14 0

HOLDGES STACY M CFO

  • Officer
92,652 2013-08-21 0

MEYER FREDERICK

  • Director
299,321 2012-02-10 0

BUCHHOLZ DON A

  • Director
207,093 2011-10-03 0

VINTON PAUL D EXECUTIVE VICE PRESIDENT

  • Officer
14,613 2011-06-30 0

FLORES ID III

  • Director
30,918 2011-03-17 0

HANKS KENNETH R CFO

  • Officer
63,564 2010-08-24 0

HOLT JOHN L JR EXECUTIVE VICE PRESIDENT

  • Officer
75,644 2010-08-24 0

HULTGREN DONALD W CEO

  • Officer
  • Director
131,633 2010-04-30 0

MOSLE JON L JR

  • Director
42,994 2009-08-24 0

LECROY R JAN

  • Director
10,772 2009-08-24 0

HAMICK TIMOTHY J EXECUTIVE VICE PRESIDENT

  • Officer
36,623 2009-06-30 0

MCBEY ROBERT G EXECUTIVE VICE PRESIDENT

  • Officer
12,556 2008-06-14 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days
No current insider transactions

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

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