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SWS

SWS GROUP INC
SWS

Delisted

SWS was delisted on the 31st of December, 2014.

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90 hedge funds and large institutions have $118M invested in SWS GROUP INC in 2013 Q3 according to their latest regulatory filings, with 4 funds opening new positions, 37 increasing their positions, 30 reducing their positions, and 9 closing their positions.

New
Increased
Maintained
Reduced
Closed

23% more repeat investments, than reductions

Existing positions increased: 37 | Existing positions reduced: 30

2% more capital invested

Capital invested by funds: $115M → $118M (+$2.55M)

0% more funds holding in top 10

Funds holding in top 10: 1 → 1 (0)

6% less funds holding

Funds holding: 96 → 90 (-6)

56% less first-time investments, than exits

New positions opened: 4 | Existing positions closed: 9

Holders
90
Holders Change
-6
Holders Change %
-6.25%
% of All Funds
2.92%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.03%
New
4
Increased
37
Reduced
30
Closed
9
Calls
$1K
Puts
–
Net Calls
+$1K
Net Calls Change
+$1K

Top Buyers

Rank Fund Capital Flow
1
PCM
Perritt Capital Management
Illinois
+$1.1M
2
BFA
BlackRock Fund Advisors
California
+$802K
3
HCMT
Highland Capital Management (Texas)
Texas
+$635K
4
RFC
Russell Frank Company
Washington
+$210K
5
TA
Teton Advisors
New York
+$166K

Top Sellers

Rank Fund Capital Flow
1
First Trust Advisors
First Trust Advisors
Illinois
-$844K
2
HAI
Hennessy Advisors Inc
California
-$622K
3
Bank of America
Bank of America
North Carolina
-$453K
4
PFMOSF
Philadelphia Financial Management of San Francisco
California
-$379K
5
TC
TFS Capital
Pennsylvania
-$257K
Name Holding Trade Value Shares
Change 		Change in
Stake
Principal Financial Group
26
Principal Financial Group
Iowa
$889K +$56K +9,715 +6%
WS
27
Wedbush Securities
California
$873K +$2.88K +500 +0.3%
TCIM
28
TIAA CREF Investment Management
New York
$838K -$29.6K -5,144 -3%
Wells Fargo
29
Wells Fargo
California
$796K -$18.5K -3,205 -2%
GC
30
Guggenheim Capital
Illinois
$709K +$60.9K +10,574 +9%
New York State Teachers Retirement System (NYSTRS)
31
New York State Teachers Retirement System (NYSTRS)
New York
$702K -$23.1K -4,000 -3%
BIM
32
BlackRock Investment Management
Delaware
$647K -$1.51K -262 -0.2%
Geode Capital Management
33
Geode Capital Management
Massachusetts
$647K +$18K +3,126 +3%
SCM
34
Snow Capital Management
Pennsylvania
$624K +$74.9K +12,995 +13%
Invesco
35
Invesco
Georgia
$604K +$90.5K +15,700 +17%
JP Morgan Chase
36
JP Morgan Chase
New York
$500K -$188K -32,619 -27%
Goldman Sachs
37
Goldman Sachs
New York
$492K +$9.31K +1,615 +2%
Public Sector Pension Investment Board (PSP Investments)
38
Public Sector Pension Investment Board (PSP Investments)
Quebec, Canada
$386K +$86.5K +15,000 +28%
New York State Common Retirement Fund
39
New York State Common Retirement Fund
New York
$358K – – –
Prudential Financial
40
Prudential Financial
New Jersey
$346K -$43.2K -7,499 -11%
FIM
41
Freedom Investment Management
Connecticut
$339K +$104K +18,060 +42%
AllianceBernstein
42
AllianceBernstein
Tennessee
$310K -$11.7K -2,032 -4%
California State Teachers Retirement System (CalSTRS)
43
California State Teachers Retirement System (CalSTRS)
California
$291K +$9.72K +1,687 +3%
TA
44
Teachers Advisors
New York
$270K -$1.46K -254 -0.5%
Charles Schwab
45
Charles Schwab
California
$270K – – –
RhumbLine Advisers
46
RhumbLine Advisers
Massachusetts
$264K -$2.41K -418 -0.9%
Royal Bank of Canada
47
Royal Bank of Canada
Ontario, Canada
$260K -$17.3K -3,003 -6%
State Board of Administration of Florida Retirement System
48
State Board of Administration of Florida Retirement System
Florida
$243K – – –
Deutsche Bank
49
Deutsche Bank
Germany
$242K +$98.3K +17,055 +64%
CS
50
Credit Suisse
Switzerland
$235K +$157K +27,309 +182%
1
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SWS Hedge Fund Activity: Q3 2013 in Review

90 of the 3,085 institutional investors tracked by Wall St. Rank reported a position in SWS GROUP INC (SWS) for Q3 2013, worth a combined $118M — up 2.2% from $115M a quarter earlier.

Sellers outnumbered buyers: 9 funds closed out of SWS and 4 opened new positions — a net loss of 5 holders — while 30 trimmed existing stakes and 37 added.

The largest buyer was Perritt Capital Management, adding an estimated $1.1M. The largest seller was First Trust Advisors, exiting entirely with an estimated $844K sold.

  • 90 institutional investors held SWS GROUP INC (SWS) as of Q3 2013, down from 96 in Q2 2013.
  • Funds reported $118M of SWS GROUP INC stock for Q3 2013, up 2.2% quarter-over-quarter.
  • 4 funds opened new SWS GROUP INC positions in Q3 2013 and 9 closed out, a net change of -5 holders.
  • The largest SWS GROUP INC buyer in Q3 2013 was Perritt Capital Management, an estimated $1.1M added.
  • The largest SWS GROUP INC seller in Q3 2013 was First Trust Advisors, an estimated $844K sold.

Based on aggregated 13F filings for Q3 2013.