| Date | Name | Symbol | Type | Security | Shares | Price | Value | Ownership | Reported |
| 08/21/2014 | Hilltop Securities Holdings LLC | SWS | Payment of Exercise | Common Stock $.10 Par Value | 792 | $0.00 | $0 | | 08/20/2014 |
| 08/20/2014 | Hilltop Securities Holdings LLC | SWS | Grant | Common Stock $.10 Par Value | 8.6k | $0.00 | $0 | | 08/20/2014 |
| 08/21/2013 | Hilltop Securities Holdings LLC | SWS | Grant | Common Stock $.10 Par Value | 9k | $0.00 | $0 | | 08/21/2013 |
| 08/24/2012 | Hilltop Securities Holdings LLC | SWS | Payment of Exercise | Common Stock $.10 Par Value | 201 | $0.00 | $0 | | 08/24/2012 |