SEC Form 4 · accession 0001104659-16-160143
Hilltop Holdings Inc. · HTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James R Huffines
Officer — COO of Subsidiaries · Director
Period of report
Nov 30, 2016
Accepted (ET)
Dec 1, 2016 · 4:50 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 StockF1 | Nov 30, 2016 | G | 1,500 | $0.00 | D | 348,803 | D | |
| Common StockF2 | holding | — | — | — | 47,000 | I | By James Huffines 1994 Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 12,028 shares held in a self-directed individual retirement account.
- F2The 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.