SEC Form 4 · accession 0001104659-15-000828
Hilltop Holdings Inc. · HTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jerry Schaffner
Officer — PlainsCapital Bank Pres. & CEO
Period of report
Jan 2, 2015
Accepted (ET)
Jan 6, 2015 · 7:25 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001265131
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F3 | Jan 2, 2015 | S | 8,700 | $19.8914 | D | 160,014 | D | |
| Common StockF4 | holding | — | — | — | 1,459 | I | By Wife |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 7, 2014.
- F2The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $19.61 to $20.05, inclusive. The reporting person undertakes to provide to Hilltop Holdings Inc., any stockholder of Hilltop Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.
- F3Includes 11,970 shares of common stock held in an individual retirement account for the benefit of the reporting person.
- F4The reporting person disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest therein. The reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these shares.