SEC Form 4 · accession 0001104659-15-027707
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
Apr 13, 2015
Accepted (ET)
Apr 15, 2015 · 5:52 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 | Apr 13, 2015 | S | 5,000 | $20.00 | D | 155,916 | D | |
| Common StockF3 | holding | — | — | — | 1,459 | I | By Wife |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 7, 2014.
- F2Includes 11,970 shares of common stock held in an individual retirement account for the benefit of the reporting person.
- 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.