SEC Form 4 · accession 0001104659-16-109921
Hilltop Holdings Inc. · HTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Alan B White
Officer — Plains Capital Corporation CEO · Director
Period of report
Apr 1, 2016
Accepted (ET)
Apr 5, 2016 · 4:53 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 | Apr 1, 2016 | F | 16,168 | $18.68 | D | 325,111 | D | |
| Common StockF3 | holding | — | — | — | 1,366,458 | I | By Maedgen & White, Ltd. | |
| Common StockF3,F4 | holding | — | — | — | 10,238 | I | By Wife | |
| Common StockF3 | holding | — | — | — | 23,806 | I | By Double E Investments | |
| Common StockF3 | holding | — | — | — | 12,883 | I | By EAW White Family Partnership, Ltd. | |
| Common StockF3 | holding | — | — | — | 8,045 | I | By Maedgen, White and Maedgen |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of common stock of Hilltop Holdings Inc. (the "Issuer") withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of 50,000 restricted shares of common stock granted to the reporting person on May 2, 2013.
- F2Includes 95,844 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 Securities Exchange Act of 1934, as amended, or otherwise, the beneficial owner of these shares.
- F4Includes 453 shares of common stock held in an individual retirement account.