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United States

Hilltop Securities Holdings LLC (SWS)

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Ticker: SWS
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• Purchase • Sale • Planned purchase • Planned sale Net purchase Net sale Activity signal Earnings
Top insiders
Trades
Edge Joseph Michael II
Senior Vice President, CFO
1 purchase — total 7,059 USD
Buy 13 Nov 2013
Value US$479,969.59 | Price 335.58 | Shares 17,869
Buy 18 Jun 2013
Value US$4,659,370.21 | Price 85.43 | Shares 86,988
Sale 20 Nov 2012
Value US$92,660.00 | Price 4.52 | Shares 20,500
Buy 25 May 2012
Value US$142,335.00 | Price 5.69 | Shares 25,000
Buy 24 May 2012
Value US$3,990.00 | Price 5.70 | Shares 700
Buy 22 Feb 2012
Value US$591.78 | Price 5.92 | Shares 100
Buy 22 Feb 2012
Value US$1,171.95 | Price 5.95 | Shares 197
Buy 22 Feb 2012
Value US$1,783.80 | Price 5.95 | Shares 300
Buy 22 Feb 2012
Value US$1,787.70 | Price 5.90 | Shares 303
Buy 22 Feb 2012
Value US$4,151.00 | Price 5.93 | Shares 700
Buy 22 Feb 2012
Value US$5,328.00 | Price 5.92 | Shares 900
Buy 21 Feb 2012
Value US$24,970.56 | Price 6.08 | Shares 4,107
Buy 10 Feb 2012
Value US$5,970.00 | Price 5.97 | Shares 1,000
Buy 10 Feb 2012
Value US$53,659.80 | Price 5.96 | Shares 9,000
Buy 25 Nov 2011
Value US$337,964.67 | Price 5.35 | Shares 63,145
Buy 25 Nov 2011
Value US$337,964.67 | Price 5.35 | Shares 63,145
Buy 23 Nov 2011
Value US$480,565.23 | Price 5.32 | Shares 90,342
Buy 23 Nov 2011
Value US$480,565.23 | Price 5.32 | Shares 90,342
Buy 22 Nov 2011
Value US$547,270.00 | Price 5.47 | Shares 100,000
Buy 22 Nov 2011
Value US$547,270.00 | Price 5.47 | Shares 100,000
Buy 22 Nov 2011
Value US$22,127.55 | Price 5.47 | Shares 4,044
Buy 21 Nov 2011
Value US$253,251.74 | Price 5.47 | Shares 46,300
Buy 21 Nov 2011
Value US$253,251.74 | Price 5.47 | Shares 46,300
Buy 18 Nov 2011
Value US$274,330.00 | Price 5.49 | Shares 50,000
Buy 18 Nov 2011
Value US$274,330.00 | Price 5.49 | Shares 50,000
Buy 17 Nov 2011
Value US$125,378.40 | Price 5.27 | Shares 23,800
Buy 17 Nov 2011
Value US$125,378.40 | Price 5.27 | Shares 23,800
Buy 16 Nov 2011
Value US$24,970.53 | Price 5.59 | Shares 4,467
Buy 16 Nov 2011
Value US$3,850,575.54 | Price 5.28 | Shares 729,400
Buy 16 Nov 2011
Value US$3,850,575.54 | Price 5.28 | Shares 729,400
Buy 15 Nov 2011
Value US$80,643.00 | Price 5.38 | Shares 15,000
Buy 15 Nov 2011
Value US$80,643.00 | Price 5.38 | Shares 15,000
Buy 16 Sep 2011
Value US$34,989.60 | Price 5.83 | Shares 6,000
Buy 15 Sep 2011
Value US$19,713.75 | Price 5.63 | Shares 3,500
Buy 15 Sep 2011
Value US$56,000.00 | Price 5.60 | Shares 10,000
Buy 15 Sep 2011
Value US$22,396.00 | Price 5.60 | Shares 4,000
Buy 14 Sep 2011
Value US$30,371.00 | Price 5.52 | Shares 5,500
Buy 14 Sep 2011
Value US$54,384.00 | Price 5.44 | Shares 10,000
Buy 14 Sep 2011
Value US$24,997.90 | Price 5.47 | Shares 4,570
Buy 13 Sep 2011
Value US$140,140.00 | Price 5.39 | Shares 26,000
Buy 13 Sep 2011
Value US$68,064.10 | Price 5.24 | Shares 13,000
Buy 13 Sep 2011
Value US$26,290.00 | Price 5.26 | Shares 5,000
Buy 13 Sep 2011
Value US$68,064.10 | Price 5.24 | Shares 13,000
Buy 12 Sep 2011
Value US$151,174.24 | Price 5.18 | Shares 29,200
Buy 12 Sep 2011
Value US$25,500.00 | Price 5.10 | Shares 5,000
Buy 12 Sep 2011
Value US$151,174.24 | Price 5.18 | Shares 29,200
Buy 9 Sep 2011
Value US$79,382.00 | Price 5.22 | Shares 15,200
Buy 9 Sep 2011
Value US$79,382.00 | Price 5.22 | Shares 15,200
Buy 8 Sep 2011
Value US$380,824.08 | Price 5.13 | Shares 74,200
Buy 8 Sep 2011
Value US$380,824.08 | Price 5.13 | Shares 74,200
Buy 7 Sep 2011
Value US$49,380.00 | Price 4.94 | Shares 10,000
Buy 7 Sep 2011
Value US$351,860.00 | Price 4.82 | Shares 73,000
Buy 7 Sep 2011
Value US$351,860.00 | Price 4.82 | Shares 73,000
Buy 6 Sep 2011
Value US$152,456.00 | Price 4.72 | Shares 32,300
Buy 6 Sep 2011
Value US$528,693.75 | Price 4.39 | Shares 120,500
Buy 6 Sep 2011
Value US$152,456.00 | Price 4.72 | Shares 32,300
Buy 6 Sep 2011
Value US$528,693.75 | Price 4.39 | Shares 120,500
Buy 6 Sep 2011
Value US$24,300.00 | Price 4.05 | Shares 6,000
Buy 6 Sep 2011
Value US$48,000.00 | Price 4.00 | Shares 12,000
Buy 6 Sep 2011
Value US$46,393.67 | Price 4.26 | Shares 10,900
Buy 6 Sep 2011
Value US$56,400.00 | Price 3.76 | Shares 15,000
Buy 31 May 2011
Value US$64,654.00 | Price 6.47 | Shares 10,000
Buy 31 May 2011
Value US$77,511.28 | Price 6.49 | Shares 11,950
Buy 26 May 2011
Value US$4,802.96 | Price 6.00 | Shares 800
Buy 25 May 2011
Value US$1,224.00 | Price 6.12 | Shares 200
Buy 25 May 2011
Value US$12,300.00 | Price 6.15 | Shares 2,000
Buy 24 May 2011
Value US$18,540.00 | Price 6.18 | Shares 3,000
Buy 24 May 2011
Value US$24,600.00 | Price 6.15 | Shares 4,000
Buy 23 May 2011
Value US$60,052.00 | Price 6.01 | Shares 10,000
Buy 20 May 2011
Value US$45,841.02 | Price 6.32 | Shares 7,250
Buy 10 Sep 2010
Value US$22,199.70 | Price 7.40 | Shares 3,000
Buy 10 Sep 2010
Value US$22,229.70 | Price 7.41 | Shares 3,000
Buy 9 Sep 2010
Value US$35,691.00 | Price 7.14 | Shares 5,000
Buy 25 May 2010
Value US$47,750.00 | Price 9.55 | Shares 5,000
Buy 21 May 2010
Value US$9,860.00 | Price 9.86 | Shares 1,000
Abbreviations B: Buy, S: Sell, PP: Planned purchase, PlS: Planned sale, PrS: Proposed sale, O: Option / Other
Notification date Transaction date B/S Transaction type Insider and/or position Nb. shares
Price
Value 		Number of shares Price Value Details
2013-11-14 2013-11-13 B Purchase Edge Joseph Michael II

Senior Vice President, CFO

Officer
17,869 -31.5%
335.58
US$479,970 		17,869 -31.5% 335.58 US$479,970
2013-06-18 2013-06-18 B Purchase JOBE LARRY A Non-Executive Director
86,988 -3.7%
85.43
US$4,659,370 		86,988 -3.7% 85.43 US$4,659,370
2012-11-21 2012-11-20 S Sale JOBE LARRY A Non-Executive Director
7,518 +25.6%
414.78
US$3,078,968 		7,518 +25.6% 414.78 US$3,078,968
2012-05-29 2012-05-25 B Purchase Buchholz Robert A Non-Executive Director
25,000 +8.0%
5.69
US$142,335 		25,000 +8.0% 5.69 US$142,335
2012-05-29 2012-05-24 B Purchase Buchholz Robert A Non-Executive Director
700 +0.2%
5.70
US$3,990 		700 +0.2% 5.70 US$3,990
2012-02-23 2012-02-22 B Purchase LEVENTHAL LAURA

Controller

Officer
100 +0.8%
5.92
US$592 		100 +0.8% 5.92 US$592
2012-02-23 2012-02-22 B Purchase LEVENTHAL LAURA

Controller

Officer
197 +1.6%
5.95
US$1,172 		197 +1.6% 5.95 US$1,172
2012-02-23 2012-02-22 B Purchase LEVENTHAL LAURA

Controller

Officer
300 +2.5%
5.95
US$1,784 		300 +2.5% 5.95 US$1,784
2012-02-23 2012-02-22 B Purchase LEVENTHAL LAURA

Controller

Officer
303 +2.6%
5.90
US$1,788 		303 +2.6% 5.90 US$1,788
2012-02-23 2012-02-22 B Purchase LEVENTHAL LAURA

Controller

Officer
700 +6.4%
5.93
US$4,151 		700 +6.4% 5.93 US$4,151
2012-02-23 2012-02-22 B Purchase LEVENTHAL LAURA

Controller

Officer
900 +8.9%
5.92
US$5,328 		900 +8.9% 5.92 US$5,328
2012-02-23 2012-02-21 B Purchase HOLDGES STACY M

CFO

Officer
4,107 +26.8%
6.08
US$24,971 		4,107 +26.8% 6.08 US$24,971
2012-02-14 2012-02-10 B Purchase MEYER FREDERICK Non-Executive Director
1,000 +0.4%
5.97
US$5,970 		1,000 +0.4% 5.97 US$5,970
2012-02-14 2012-02-10 B Purchase MEYER FREDERICK Non-Executive Director
9,000 +3.9%
5.96
US$53,660 		9,000 +3.9% 5.96 US$53,660
2011-11-28 2011-11-25 B Purchase Hilltop Holdings Inc. Large shareholder
63,145 +4.5%
5.35
US$337,965 		63,145 +4.5% 5.35 US$337,965
2011-11-28 2011-11-25 B Purchase FORD GERALD J Non-Executive Director
63,145 +4.5%
5.35
US$337,965 		63,145 +4.5% 5.35 US$337,965
2011-11-28 2011-11-23 B Purchase Hilltop Holdings Inc. Large shareholder
90,342 +6.8%
5.32
US$480,565 		90,342 +6.8% 5.32 US$480,565
2011-11-28 2011-11-23 B Purchase FORD GERALD J Non-Executive Director
90,342 +6.8%
5.32
US$480,565 		90,342 +6.8% 5.32 US$480,565
2011-11-23 2011-11-22 B Purchase FORD GERALD J Non-Executive Director
100,000 +8.2%
5.47
US$547,270 		100,000 +8.2% 5.47 US$547,270
2011-11-23 2011-11-22 B Purchase Hilltop Holdings Inc. Large shareholder
100,000 +8.2%
5.47
US$547,270 		100,000 +8.2% 5.47 US$547,270
2011-11-22 2011-11-22 B Purchase LEVENTHAL LAURA

Controller

Officer
4,044 +67.0%
5.47
US$22,128 		4,044 +67.0% 5.47 US$22,128
2011-11-23 2011-11-21 B Purchase FORD GERALD J Non-Executive Director
46,300 +3.9%
5.47
US$253,252 		46,300 +3.9% 5.47 US$253,252
2011-11-23 2011-11-21 B Purchase Hilltop Holdings Inc. Large shareholder
46,300 +3.9%
5.47
US$253,252 		46,300 +3.9% 5.47 US$253,252
2011-11-21 2011-11-18 B Purchase FORD GERALD J Non-Executive Director
50,000 +4.4%
5.49
US$274,330 		50,000 +4.4% 5.49 US$274,330
2011-11-21 2011-11-18 B Purchase Hilltop Holdings Inc. Large shareholder
50,000 +4.4%
5.49
US$274,330 		50,000 +4.4% 5.49 US$274,330
2011-11-21 2011-11-17 B Purchase FORD GERALD J Non-Executive Director
23,800 +2.2%
5.27
US$125,378 		23,800 +2.2% 5.27 US$125,378
2011-11-21 2011-11-17 B Purchase Hilltop Holdings Inc. Large shareholder
23,800 +2.2%
5.27
US$125,378 		23,800 +2.2% 5.27 US$125,378
2011-11-18 2011-11-16 B Purchase HOLDGES STACY M

CFO

Officer
4,467 +41.1%
5.59
US$24,971 		4,467 +41.1% 5.59 US$24,971
2011-11-17 2011-11-16 B Purchase Hilltop Holdings Inc. Large shareholder
729,400 +195.9%
5.28
US$3,850,576 		729,400 +195.9% 5.28 US$3,850,576
2011-11-17 2011-11-16 B Purchase FORD GERALD J Non-Executive Director
729,400 +195.9%
5.28
US$3,850,576 		729,400 +195.9% 5.28 US$3,850,576
2011-11-17 2011-11-15 B Purchase Hilltop Holdings Inc. Large shareholder
15,000 +4.2%
5.38
US$80,643 		15,000 +4.2% 5.38 US$80,643
2011-11-17 2011-11-15 B Purchase FORD GERALD J Non-Executive Director
15,000 +4.2%
5.38
US$80,643 		15,000 +4.2% 5.38 US$80,643
2011-09-16 2011-09-16 B Purchase LITTON RICHARD H

Executive Vice President

Officer
6,000 +7.7%
5.83
US$34,990 		6,000 +7.7% 5.83 US$34,990
2011-09-16 2011-09-15 B Purchase MEYER FREDERICK Non-Executive Director
3,500 +1.6%
5.63
US$19,714 		3,500 +1.6% 5.63 US$19,714
2011-09-15 2011-09-15 B Purchase JOBE LARRY A Non-Executive Director
10,000 +32.6%
5.60
US$56,000 		10,000 +32.6% 5.60 US$56,000
2011-09-15 2011-09-15 B Purchase LELAND DANIEL

Executive Vice President

Officer
4,000 +7.0%
5.60
US$22,396 		4,000 +7.0% 5.60 US$22,396
2011-09-15 2011-09-14 B Purchase MEYER FREDERICK Non-Executive Director
5,500 +2.6%
5.52
US$30,371 		5,500 +2.6% 5.52 US$30,371
2011-09-14 2011-09-14 B Purchase LELAND DANIEL

Executive Vice President

Officer
10,000 +21.1%
5.44
US$54,384 		10,000 +21.1% 5.44 US$54,384
2011-09-14 2011-09-14 B Purchase HOLDGES STACY M

CFO

Officer
4,570 +72.4%
5.47
US$24,998 		4,570 +72.4% 5.47 US$24,998
2011-09-15 2011-09-13 B Purchase MEYER FREDERICK Non-Executive Director
26,000 +13.9%
5.39
US$140,140 		26,000 +13.9% 5.39 US$140,140
2011-09-14 2011-09-13 B Purchase Hilltop Holdings Inc. Large shareholder
13,000 +3.8%
5.24
US$68,064 		13,000 +3.8% 5.24 US$68,064
2011-09-14 2011-09-13 B Purchase LELAND DANIEL

Executive Vice President

Officer
5,000 +11.8%
5.26
US$26,290 		5,000 +11.8% 5.26 US$26,290
2011-09-14 2011-09-13 B Purchase FORD GERALD J Non-Executive Director
13,000 +3.8%
5.24
US$68,064 		13,000 +3.8% 5.24 US$68,064
2011-09-14 2011-09-12 B Purchase Hilltop Holdings Inc. Large shareholder
29,200 +9.3%
5.18
US$151,174 		29,200 +9.3% 5.18 US$151,174
2011-09-14 2011-09-12 B Purchase LELAND DANIEL

Executive Vice President

Officer
5,000 +13.4%
5.10
US$25,500 		5,000 +13.4% 5.10 US$25,500
2011-09-14 2011-09-12 B Purchase FORD GERALD J Non-Executive Director
29,200 +9.3%
5.18
US$151,174 		29,200 +9.3% 5.18 US$151,174
2011-09-12 2011-09-09 B Purchase Hilltop Holdings Inc. Large shareholder
15,200 +5.1%
5.22
US$79,382 		15,200 +5.1% 5.22 US$79,382
2011-09-12 2011-09-09 B Purchase FORD GERALD J Non-Executive Director
15,200 +5.1%
5.22
US$79,382 		15,200 +5.1% 5.22 US$79,382
2011-09-12 2011-09-08 B Purchase Hilltop Holdings Inc. Large shareholder
74,200 +32.9%
5.13
US$380,824 		74,200 +32.9% 5.13 US$380,824
2011-09-12 2011-09-08 B Purchase FORD GERALD J Non-Executive Director
74,200 +32.9%
5.13
US$380,824 		74,200 +32.9% 5.13 US$380,824
2011-09-08 2011-09-07 B Purchase LELAND DANIEL

Executive Vice President

Officer
10,000 +36.4%
4.94
US$49,380 		10,000 +36.4% 4.94 US$49,380
2011-09-08 2011-09-07 B Purchase Hilltop Holdings Inc. Large shareholder
73,000 +47.8%
4.82
US$351,860 		73,000 +47.8% 4.82 US$351,860
2011-09-08 2011-09-07 B Purchase FORD GERALD J Non-Executive Director
73,000 +47.8%
4.82
US$351,860 		73,000 +47.8% 4.82 US$351,860
2011-09-08 2011-09-06 B Purchase Hilltop Holdings Inc. Large shareholder
32,300 +26.8%
4.72
US$152,456 		32,300 +26.8% 4.72 US$152,456
2011-09-08 2011-09-06 B Purchase FORD GERALD J Non-Executive Director
32,300 +26.8%
4.72
US$152,456 		32,300 +26.8% 4.72 US$152,456
2011-09-08 2011-09-06 B Purchase MEYER FREDERICK Non-Executive Director
6,000 +3.3%
4.05
US$24,300 		6,000 +3.3% 4.05 US$24,300
2011-09-08 2011-09-06 B Purchase LELAND DANIEL

Executive Vice President

Officer
10,900 +65.9%
4.26
US$46,394 		10,900 +65.9% 4.26 US$46,394
2011-09-08 2011-09-06 B Purchase Hilltop Holdings Inc. Large shareholder
120,500 +inf%
4.39
US$528,694 		120,500 +inf% 4.39 US$528,694
2011-09-08 2011-09-06 B Purchase FORD GERALD J Non-Executive Director
120,500 +inf%
4.39
US$528,694 		120,500 +inf% 4.39 US$528,694
2011-09-08 2011-09-06 B Purchase MEYER FREDERICK Non-Executive Director
12,000 +7.1%
4.00
US$48,000 		12,000 +7.1% 4.00 US$48,000
2011-09-08 2011-09-06 B Purchase Ross James H

President and CEO

Executive Director
15,000 +83.3%
3.76
US$56,400 		15,000 +83.3% 3.76 US$56,400
2011-05-31 2011-05-31 B Purchase LITTON RICHARD H

Executive Vice President

Officer
10,000 +14.8%
6.47
US$64,654 		10,000 +14.8% 6.47 US$64,654
2011-05-31 2011-05-31 B Purchase LITTON RICHARD H

Executive Vice President

Officer
11,950 +21.5%
6.49
US$77,511 		11,950 +21.5% 6.49 US$77,511
2011-05-31 2011-05-26 B Purchase LITTON RICHARD H

Executive Vice President

Officer
800 +1.5%
6.00
US$4,803 		800 +1.5% 6.00 US$4,803
2011-05-26 2011-05-25 B Purchase LELAND DANIEL

Executive Vice President

Officer
200 +1.2%
6.12
US$1,224 		200 +1.2% 6.12 US$1,224
2011-05-26 2011-05-25 B Purchase LELAND DANIEL

Executive Vice President

Officer
2,000 +13.9%
6.15
US$12,300 		2,000 +13.9% 6.15 US$12,300
2011-05-26 2011-05-24 B Purchase LELAND DANIEL

Executive Vice President

Officer
3,000 +26.4%
6.18
US$18,540 		3,000 +26.4% 6.18 US$18,540
2011-05-26 2011-05-24 B Purchase LELAND DANIEL

Executive Vice President

Officer
4,000 +54.5%
6.15
US$24,600 		4,000 +54.5% 6.15 US$24,600
2011-05-23 2011-05-23 B Purchase LITTON RICHARD H

Executive Vice President

Officer
10,000 +22.4%
6.01
US$60,052 		10,000 +22.4% 6.01 US$60,052
2011-05-23 2011-05-20 B Purchase LITTON RICHARD H

Executive Vice President

Officer
7,250 +19.4%
6.32
US$45,841 		7,250 +19.4% 6.32 US$45,841
2010-09-16 2010-09-10 B Purchase Flores ID III Non-Executive Director
3,000 +30.0%
7.40
US$22,200 		3,000 +30.0% 7.40 US$22,200
2010-09-10 2010-09-10 B Purchase Moses Michael A Non-Executive Director
3,000 +29.5%
7.41
US$22,230 		3,000 +29.5% 7.41 US$22,230
2010-09-09 2010-09-09 B Purchase JOBE LARRY A Non-Executive Director
5,000 +25.0%
7.14
US$35,691 		5,000 +25.0% 7.14 US$35,691
2010-05-25 2010-05-25 B Purchase Ross James H

Executive Vice President

Officer
5,000 +38.5%
9.55
US$47,750 		5,000 +38.5% 9.55 US$47,750
2010-05-25 2010-05-21 B Purchase Ross James H

Executive Vice President

Officer
1,000 +8.3%
9.86
US$9,860 		1,000 +8.3% 9.86 US$9,860
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