SEC Form 4 · accession 0001104659-15-020172
Hilltop Holdings Inc. · HTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan B White
Officer — PlainsCapital Corporation CEO · Director
Period of report
Mar 12, 2015
Accepted (ET)
Mar 16, 2015 · 6:51 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 StockF2,F3 | Mar 12, 2015 | S | 8,643 | $20.0492 | D | 341,915 | D | |
| Common StockF4,F3 | Mar 13, 2015 | S | 4,526 | $20.0011 | D | 337,389 | D | |
| Common StockF2,F5 | Mar 12, 2015 | S | 25,928 | $20.0492 | D | 1,634,280 | I | By Maedgen & White, Ltd. |
| Common StockF4,F5 | Mar 13, 2015 | S | 13,577 | $20.0011 | D | 1,620,703 | I | By Maedgen & White, Ltd. |
| Common StockF5,F6 | holding | — | — | — | 10,238 | I | By Wife | |
| Common StockF5 | holding | — | — | — | 23,806 | I | By Double E Investments | |
| Common StockF5 | holding | — | — | — | 12,883 | I | By EAW White Family Partnership, Ltd. | |
| Common StockF5 | holding | — | — | — | 8,045 | I | By Maedgen, White and Maedgen |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted on August 29, 2014.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.08 per share, 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 sold at each separate price within such range.
- F3Includes 95,844 shares of common stock held in an individual retirement account for the benefit of the reporting person.
- F4The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.03 per share, 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 sold at each separate price within such range.
- F5The 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.
- F6Includes 453 shares of common stock held in an individual retirement account.