SEC Form 4 · accession 0001104659-15-019157
Hilltop Holdings Inc. · HTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James R Huffines
Officer — PlainsCapital Corp. Pres & COO · Director
Period of report
Mar 10, 2015
Accepted (ET)
Mar 12, 2015 · 4:05 pm EDT
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 StockF1,F2 | Mar 10, 2015 | P | 5,000 | $19.2109 | A | 337,420 | D | |
| Common StockF3 | holding | — | — | — | 47,000 | I | By James Huffines 1994 Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $19.16 to $19.2297, inclusive. The reporting person undertakes to provide to Hilltop Holdings Inc., any security holder of Hilltop Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range.
- F2Includes 12,028 shares held in a self-directed individual retirement account.
- F3The 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 Exchange Act or otherwise, the beneficial owner of these shares.