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SWS GROUP INC
SWS GROUP INC. Institutional holdings reported to the SEC.

Institutional Holders (2014Q3)
Portfolio Summary: 108 Institutional holders with a total value of $197,148,557.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 OAK HILL CAPITAL MANAGEMENT, LLC 6,535,701 45,031,000 22.84%
2 HIGHLAND CAPITAL MANAGEMENT LP 3,268,307 22,519,000 11.42%
3 Ancora Advisors LLC 2,200,249 15,160,000 7.69%
4 Hilltop Holdings Inc. 1,475,387 10,165,000 5.16%
5 BlackRock Fund Advisors 1,366,362 9,414,000 4.78%
6 VANGUARD GROUP INC 1,034,476 7,128,000 3.62%
7 BlackRock Institutional Trust Company, N.A. 986,705 6,798,000 3.45%
8 DIMENSIONAL FUND ADVISORS LP 757,313 5,218,000 2.65%
9 GABELLI FUNDS LLC 675,977 4,657,000 2.36%
10 PERRITT CAPITAL MANAGEMENT INC 594,947 4,099,000 2.08%
11 LONGFELLOW INVESTMENT MANAGEMENT CO LLC 576,834 3,974,000 2.02%
12 First Eagle Investment Management, LLC 553,108 3,811,000 1.93%
13 STATE STREET CORP 545,424 3,757,000 1.91%
14 GAMCO INVESTORS, INC. ET AL 542,900 3,741,000 1.90%
15 HAVENS ADVISORS LLC 447,500 3,083,000 1.56%
16 COMMONWEALTH OF PENNSYLVANIA PUBLIC SCHOOL EMPLS RETRMT SYS 429,435 2,959,000 1.50%
17 RENAISSANCE TECHNOLOGIES LLC 354,850 2,445,000 1.24%
18 JPMORGAN CHASE & CO 344,887 2,377,000 1.21%
19 WATER ISLAND CAPITAL LLC 333,611 2,298,580 1.17%
20 NORTHERN TRUST CORP 317,385 2,186,000 1.11%
21 Teton Advisors, Inc. 307,876 2,121,000 1.08%
22 MORGAN STANLEY 299,197 2,061,000 1.05%
23 APG Asset Management N.V. 277,020 1,909,000 0.97%
24 SG Americas Securities, LLC 248,049 1,709,000 0.87%
25 PARAMETRIC PORTFOLIO ASSOCIATES LLC 207,243 1,428,000 0.72%
26 FMR LLC 201,000 1,385,000 0.70%
27 Bank of New York Mellon Corp 185,530 1,278,000 0.65%
28 MENDON CAPITAL ADVISORS CORP 183,068 1,261,000 0.64%
29 BRIDGEWAY CAPITAL MANAGEMENT, LLC 179,600 1,237,000 0.63%
30 GABELLI & Co INVESTMENT ADVISERS, INC. 166,469 1,147,000 0.58%
31 OMERS ADMINISTRATION Corp 141,810 977,000 0.50%
32 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 140,300 967,000 0.49%
33 GEODE CAPITAL MANAGEMENT, LLC 140,338 966,000 0.49%
34 MILLENNIUM MANAGEMENT LLC 140,035 965,000 0.49%
35 TIAA CREF INVESTMENT MANAGEMENT LLC 139,152 959,000 0.49%
36 PRINCIPAL FINANCIAL GROUP INC 137,998 951,000 0.48%
37 Freedom Investment Management, Inc. 117,431 809,000 0.41%
38 BlackRock Investment Management, LLC 110,063 758,000 0.38%
39 GARDNER LEWIS ASSET MANAGEMENT L P 109,518 755,000 0.38%
40 AMERIPRISE FINANCIAL INC 101,166 697,000 0.35%
41 WEDBUSH SECURITIES INC 100,445 692,000 0.35%
42 NEW YORK STATE TEACHERS RETIREMENT SYSTEM 94,724 653,000 0.33%
43 GUGGENHEIM CAPITAL LLC 84,289 581,000 0.29%
44 Invesco Ltd. 75,792 522,000 0.26%
45 NEW YORK STATE COMMON RETIREMENT FUND 64,100 442,000 0.22%
46 CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 53,829 371,000 0.19%
47 NOMURA HOLDINGS INC 53,011 368,000 0.19%
48 PRUDENTIAL FINANCIAL INC 49,665 342,000 0.17%
49 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 47,211 326,000 0.17%
50 STATE BOARD OF ADMINISTRATION OF FLORIDA RETIREMENT SYSTEM 43,547 300,000 0.15%
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From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.