SWS - Hilltop Securities Holdings LLC - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	1	15	65	2	3	4	4	-7	-2	1
P	%wins				77	62	45	63	34	45	54

Filing Date	T Date	Ticker	Sector	Ind	Industry	Owner	oSt	Rel	Title	T	TVal	Price	L	Qty	oc	Own	H	r2y	r1y	r6m	r3m	r6w	r3w	r7d	r3d	f1d	f1w	f1m	f3m	f6m	f1y
11/14/13 16:42	11/13/13	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Edge Joseph Michael II	TX	O	SVP,CFO	P	7	5.81	0	1	140	2	D
6/18/13 17:42	6/18/13	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Jobe Larry A	TX	D		P	60	5.68	0	11	31	45	D
5/29/12 17:00	5/24/12	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Buchholz Robert A	TX	D		P.m	146	5.69	0	26	5	538	D
2/23/12 18:49	2/22/12	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Leventhal Laura	TX	O	Controll	P	15	5.93	1	3	25	13	D	-53	4	36	2	-22	-25	-5	-8	3	-4
2/23/12 18:02	2/21/12	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Holdges Stacy M	TX	O	CFO	P	25	6.08	1	4	6	75	I	-53	4	36	2	-22	-25	-5	-8	3	-4
2/14/12 11:38	2/10/12	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Meyer Frederick	TX	D		P	60	5.96	1	10	3	299	D	-48	0	57	17	-9	-16	-16	-5	-4	-7
11/28/11 17:08	11/23/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Ford Gerald J	TX	D		P.m	819	5.33	1	153	12	1,482	I	-55	-4	-16	29	1	-5	-2	-2	7	16	27	4
11/28/11 16:58	11/23/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Hilltop Holdings Inc.	TX	T		P.m	819	5.33	1	153	12	1,475	D	-55	-4	-16	29	1	-5	-2	-2	7	16	27	4
11/23/11 16:11	11/21/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Ford Gerald J	TX	D		P.m	801	5.47	1	146	12	1,329	I	-55	-11	-10	26	7	-3	2	6	2	21	37	14
11/23/11 16:05	11/21/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Hilltop Holdings Inc.	TX	T		P.m	801	5.47	1	146	12	1,322	D	-55	-11	-10	26	7	-3	2	6	2	21	37	14
11/22/11 17:51	11/22/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Leventhal Laura	TX	O	Controll	P	22	5.47	1	4	67	10	D	-55	-12	-11	26	5	6	2	2	-4	9	32	6
11/21/11 17:00	11/17/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Ford Gerald J	TX	D		P.m	400	5.42	1	74	7	1,182	M	-54	-10	-7	34	12	0	3	1	1	3	34	3
11/21/11 16:24	11/17/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Hilltop Holdings Inc.	TX	T		P.m	400	5.42	1	74	7	1,176	D	-54	-10	-7	34	12	0	3	1	1	3	34	3
11/18/11 17:48	11/16/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Holdges Stacy M	TX	O	CFO	P	25	5.59	1	4	20	27	I	-59	-16	-17	26	14	-9	-6	-1	-1	-3	30	6
11/17/11 17:35	11/15/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Ford Gerald J	TX	D		P.m	3,931	5.28	1	744	208	1,102	I	-59	-11	-16	34	10	-8	-4	-1	6	1	37	17
11/17/11 17:29	11/15/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Hilltop Holdings Inc.	TX	T		P.m	3,931	5.28	1	744	208	1,102	D	-59	-11	-16	34	10	-8	-4	-1	6	1	37	17
9/16/11 17:14	9/15/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Meyer Frederick	TX	D		P	20	5.63	1	4	1	283	D	-60	-21	-6	0	15	41	20	9	-3	-18	-11	18
9/16/11 17:14	9/16/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Litton Richard H	TX	O	EVP	P	35	5.83	1	6	8	83	D	-60	-21	-6	0	15	41	20	9	-3	-18	-11	18
9/15/11 17:44	9/13/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Meyer Frederick	TX	D		P.m	171	5.41	1	32	13	279	D	-60	-25	13	-4	2	28	48	6	3	-15	-10	23
9/15/11 17:44	9/15/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Leland Daniel	TX	O	EVP	P	22	5.60	1	4	4	101	D	-60	-25	13	-4	2	28	48	6	3	-15	-10	23
9/15/11 17:44	9/15/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Jobe Larry A	TX	D		P	56	5.60	1	10	33	41	D	-60	-25	13	-4	2	28	48	6	3	-15	-10	23
9/14/11 19:05	9/12/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Ford Gerald J	TX	D		P.m	219	5.20	1	42	13	357	I	-60	-25	11	-7	-3	26	36	8	4	-1	-8	27
9/14/11 19:00	9/12/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Hilltop Holdings Inc.	TX	T		P.m	219	5.20	1	42	13	357	D	-60	-25	11	-7	-3	26	36	8	4	-1	-8	27
9/14/11 17:34	9/14/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Holdges Stacy M	TX	O	CFO	P	25	5.47	1	5	25	23	I	-60	-25	11	-7	-3	26	36	8	4	-1	-8	27
9/14/11 17:26	9/12/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Leland Daniel	TX	O	EVP	P.m	106	5.31	1	20	26	97	D	-60	-25	11	-7	-3	26	36	8	4	-1	-8	27
9/12/11 19:03	9/8/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Ford Gerald J	TX	D		P.m	460	5.15	1	89	40	315	I	-62	-27	1	-12	-4	27	19	10	4	12	-7	27
9/12/11 19:00	9/8/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Hilltop Holdings Inc.	TX	T		P.m	460	5.15	1	89	40	315	D	-62	-27	1	-12	-4	27	19	10	4	12	-7	27
9/8/11 19:04	9/6/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Ford Gerald J	TX	D		P.m	1,033	4.57	1	226	New	226	I	-64	-29	-5	-19	-12	15	20	23	4	10	-4	33	-1
9/8/11 19:00	9/6/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Hilltop Holdings Inc.	TX	T		P.m	1,033	4.57	1	226	New	226	D	-64	-29	-5	-19	-12	15	20	23	4	10	-4	33	-1
9/8/11 17:28	9/6/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Leland Daniel	TX	O	EVP	P.m	96	4.58	1	21	37	77	D	-64	-29	-5	-19	-12	15	20	23	4	10	-4	33	-1
9/8/11 17:28	9/6/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Meyer Frederick	TX	D		P	72	4.02	1	18	8	248	D	-64	-29	-5	-19	-12	15	20	23	4	10	-4	33	-1
9/8/11 17:28	9/6/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Ross James H	TX	DO	P,CEO	P	56	3.76	1	15	27	70	I	-64	-29	-5	-19	-12	15	20	23	4	10	-4	33	-1
5/31/11 17:09	5/26/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Litton Richard H	TX	O	EVP	P.m	147	6.46	2	23	42	77	D	-47	-35	15	19	3	-3	-1	4	0	-6	-13	-37	-18
5/26/11 17:40	5/24/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Leland Daniel	TX	O	EVP	P.m	57	6.16	1	9	19	57	D	-47	-37	0	13	1	-7	-5	-1	3	3	-9	-30	-11
5/23/11 18:40	5/20/11	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Litton Richard H	TX	O	EVP	P.dm	106	6.14	1	17	46	55	D	-47	-35	1	6	-2	1	-5	-2	3	7	-1	-29	-12
9/16/10 17:30	9/10/10	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Flores Id III	TX	D		P	22	7.40	3	3	30	13	D	-54	-47	-37	-26	-18	1	4	2	1	0	-7	-41	-32	-23
9/10/10 17:46	9/10/10	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Moses Michael A	TX	D		P	22	7.41	3	3	30	13	D	-61	-49	-41	-27	-18	4	-1	-1	3	0	3	-48	-29	-31
9/9/10 18:33	9/9/10	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Jobe Larry A	TX	D		P	36	7.14	3	5	25	25	D	-62	-49	-42	-26	-17	-11	-3	-2	4	6	5	-41	-25	-29
5/28/10 18:00	5/6/10	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Flores Id III	TX	D		P	21	10.50	4	2	25	10	D	-41	-13	-15	-13	-11	0	-3	6	-3	-4	1	-27	-40	-36
5/25/10 15:00	5/21/10	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Ross James H	TX	O	EVP	P.m	58	9.60	5	6	12	55	I	-42	-17	-21	-21	-19	-10	-10	-7	1	0	2	-26	-35	-37
5/13/10 11:14	5/12/10	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Leland Daniel	TX	O	EVP	P	420	10.51	5	40	545	47	I	-38	-13	-21	-13	-7	-10	-3	3	1	-2	-7	-23	-36	-37
5/11/10 11:15	5/10/10	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Jobe Larry A	TX	D		P	47	10.43	4	5	29	20	D	-38	-19	-21	-12	-10	-10	-6	-1	-1	5	-7	-15	-37	-36
5/10/10 09:57	5/10/10	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Hanks Kenneth R	TX	O	CFO	P	4	10.56	4	0	1	61	D	-32	-17	-18	-16	-13	-11	-4	-4	1	4	-9	-16	-37	-35
5/6/10 11:16	5/4/10	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Meyer Frederick	TX	D		P	432	10.81	4	40	22	224	M	-21	-18	-20	-12	-12	-12	-11	-5	-1	1	-9	-12	-33	-36
4/30/10 15:51	4/30/10	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Holt John L Jr	TX	O	EVP	P	55	11.10	3	5	8	67	I	-11	-13	-20	-7	-8	-8	-4	-6	-1	-6	-10	-22	-39	-44
4/30/10 12:34	4/30/10	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Hanks Kenneth R	TX	O	CFO	P	6	11.08	3	1	1	61	D	-11	-13	-20	-7	-8	-8	-4	-6	-1	-6	-10	-22	-39	-44
4/30/10 11:58	4/30/10	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Hultgren Donald W	TX	DO	CEO	P	11	11.00	3	1	1	132	D	-11	-13	-20	-7	-8	-8	-4	-6	-1	-6	-10	-22	-39	-44
2/19/10 17:15	2/19/10	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Moses Michael A	TX	D		P	17	12.78	3	1	15	10	D	-6	-19	-11	-9	3	2	4	0	1	-1	-2	-16	-36	-53
11/20/08 18:29	11/18/08	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Ross James H	TX	O	EVP	P	133	11.11	3	12	84	26	I	-49	-13	-41	-40	-24	-41	-22	-20	21	50	66	35	21	27
11/18/08 18:21	11/18/08	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Holt John L Jr	TX	O	EVP	P	230	11.50	3	20	99	40	M	-41	-7	-33	-31	-26	-26	-15	-9	-8	23	55	32	9	23
12/3/07 17:30	11/30/07	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Jobe Larry A	TX	D		P	63	13.73	5	5	67	12	D	10	-34	-42	-23	-16	-7	12	3	-6	3	-13	-15	35	-5
11/29/07 18:28	11/29/07	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Flores Id III	TX	D		P	27	13.25	6	2	100	4	D	8	-31	-39	-24	-20	-6	7	6	2	-2	-2	-13	39	16
11/26/07 17:52	11/23/07	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Moses Michael A	TX	D		P.m	20	13.03	6	2	45	5	D	4	-38	-39	-30	-29	-26	-11	9	8	11	15	13	49	2
11/21/07 12:07	11/19/07	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Meyer Frederick	TX	D		P.m	533	11.84	6	45	33	180	M	-1	-42	-43	-37	-33	-36	-17	-11	4	14	5	12	47	-13
2/16/07 17:25	2/16/07	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Moses Michael A	TX	D		P	10	28.60	11	0	23	2	D	138	98	69	36	16	17	14	-2	4	1	-16	-24	-29	-46
5/16/06 10:36	5/16/06	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Hultgren Donald W	TX	DO	CEO	P	0	0.00	5	1	1	78	4									-7	-6	-7	3	25	36
2/27/06 10:05	2/24/06	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Hultgren Donald W		DO	CEO	P	23	23.48	3	1	1	77	4									1	1	6	-1	8	70
11/18/05 11:48	11/18/05	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Hultgren Donald W		DO	CEO	P	21	20.90	3	1	4	26	D	14	4	30	26	28	28	8	5	2	5	3	10	16	70
11/17/05 11:12	11/17/05	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Hanks Kenneth R		O	CFO	P	20	19.73	3	1	4	24	D	5	-2	23	16	21	23	0	-2	6	11	9	21	26	84
5/5/05 15:09	5/5/05	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Hanks Kenneth R		O	CFO	P.d	17	17.00	1	1	5	20	D	3	9	-11	-19	3	8	10	14	2	-3	1	10	7	70
5/5/05 12:44	5/5/05	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Hultgren Donald W		DO	CEO	P.d	17	16.71	1	1	5	21	D	3	9	-11	-19	3	8	10	14	2	-3	1	10	7	70
2/17/05 15:42	2/17/05	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Hultgren Donald W		DO	CEO	P	19	19.35	1	1	6	17	D	51	10	41	-3	-8	-4	-5	-2	-1	-6	-13	-17	-12	19
11/5/04 10:54	11/5/04	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Hultgren Donald W		DO	CEO	P	19	19.00	1	1	7	16	D	54	-9	22	42	19	14	0	-3	0	5	17	8	-9	5
9/13/04 15:43	9/10/04	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Haddock Ronald W		D		P	25	15.85	1	2	66	4	D	23	-18	-3	4	16	9	8	5	1	2	6	42	8	8
9/10/04 11:32	9/10/04	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Hultgren Donald W		DO	CEO	P	16	15.84	1	1	7	15	D	25	-21	-5	2	15	14	7	6	0	1	7	42	8	7
2/10/04 17:38	2/9/04	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Hultgren Donald W		DO	CEO	P	17	17.42	2	1	9	12	D	17	24	-14	-19	-4	-8	0	1	3	3	-5	-15	-22	19
10/2/03 18:54	10/2/03	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Haddock Ronald W		D		P	25	20.36	2	1	New	1	D	51	63	38	-2	1	2	-3	7	2	3	8	-12	-10	-15
8/7/03 13:30	8/7/03	SWS	Financ	FinTrd	Security Brokers, Dealers & F	Hultgren Donald W		DO	CEO	P	20	19.55	2	1	12	9	D	39	99	35	15	2	-3	-4	-1	1	3	2	9	-14	-30

D	Derivative transaction in filing (usually option exercise)
M	Multiple transactions in filing; earliest reported transaction date and weighted average transaction price
A	Amended filing
E	Error detected in filing

S - Sale	Sale of securities on an exchange or to another person
S - Sale+OE	Sale of securities on an exchange or to another person (after option exercise)
F - Tax	Payment of exercise price or tax liability using portion of securities received from the company
P - Purchase	Purchase of securities on an exchange or from another person

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