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Monday, November 30, 2009, 9:14PM ET - U.S. Markets Closed. Dow Up 0.34% Nasdaq Up 0.29%
SWS Group Inc. (SWS)At 4:01PM ET: 12.44  Up 0.17 (1.39%)  
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Major HoldersGet Major Holders for:
BREAKDOWN
% of Shares Held by All Insider and 5% Owners: 17%
% of Shares Held by Institutional & Mutual Fund Owners: 76%
% of Float Held by Institutional & Mutual Fund Owners: 91%
Number of Institutions Holding Shares: 126

MAJOR DIRECT HOLDERS (FORMS 3 & 4)
HolderSharesReported
BUCHHOLZ ROBERT A270,64024-Aug-09
MEYER FREDERICK143,92724-Aug-09
HULTGREN DONALD W128,02725-Aug-09
BUCHHOLZ DON AN/A14-Jan-09
HOLT JOHN L JR52,25125-Aug-09


TOP INSTITUTIONAL HOLDERS
HolderShares% OutValue*Reported
Barclays Global Investors UK Holdings Ltd2,066,5597.50$29,758,44930-Sep-09
Mesirow Financial Investment Management U.S. Value Equity1,425,1525.17$20,522,18830-Sep-09
KEELEY ASSET MANAGEMENT CORP.1,359,3604.93$19,574,78430-Sep-09
WENTWORTH, HAUSER AND VIOLICH1,198,8604.35$17,263,58430-Sep-09
VANGUARD GROUP, INC. (THE)1,109,8294.03$15,981,53730-Sep-09
GAMCO INVESTORS INC1,050,0003.81$15,120,00030-Sep-09
Bank of New York Mellon Corporation869,9753.16$12,527,64030-Sep-09
DIMENSIONAL FUND ADVISORS LP844,0253.06$12,153,96030-Sep-09
PUTNAM INVESTMENT MANAGEMENT, LLC737,6542.68$10,622,21730-Sep-09
DENVER INVESTMENT ADVISORS LLC669,0252.43$9,633,96030-Sep-09

TOP MUTUAL FUND HOLDERS
HolderShares% OutValue*Reported
KEELEY SMALL CAP VALUE FUND, INC.1,340,0004.86$19,296,00030-Sep-09
EQ Advisors Trust-EQ/GAMCO Small Company Value Portfolio520,0001.89$7,264,40030-Jun-09
ISHARES RUSSELL 2000 INDEX FD353,3451.28$5,088,16830-Sep-09
ISHARES S&P SMALLCAP 600 INDEX FD315,7521.15$4,224,76131-Oct-09
VANGUARD SMALL-CAP INDEX FUND301,0881.09$4,206,19930-Jun-09
Gabelli Enterprise Mergers & Acquisitions Fund270,000.98$3,888,00030-Sep-09
DFA U.S. MICRO CAP SERIES268,623.97$3,435,68830-Apr-09
JNL Variable LLC-JNL/Mellon Cap JNL 5 Fd260,000.94$3,632,20030-Jun-09
GABELLI SMALL CAP GROWTH FUND260,000.94$3,744,00030-Sep-09
VANGUARD TOTAL STOCK MARKET INDEX FUND235,052.85$3,283,67630-Jun-09

View Transactions for Insiders & Institutional Holders
* Value shown is computed using the security's price on the report date given.


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