SEC Form 4 · accession 0001104659-17-010936
Hilltop Holdings Inc. · HTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John A Martin
Officer — Chief Accounting Officer
Period of report
Feb 21, 2017
Accepted (ET)
Feb 22, 2017 · 8:13 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,F2,F3 | Feb 21, 2017 | S | 43,071 | $28.3506 | D | 54,060 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person's sale of common stock reported herein may be deemed to be matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 145.058 shares, with the reporting person's previously reported purchase of 145.058 shares of common stock at a price of $28.156 per share on November 25, 2016. The reporting person has agreed to voluntarily disgorge any profits deemed realized from such transactions to Hilltop Holdings Inc.
- F2The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $28.25 to $28.50, inclusive. The reporting person undertakes to provide to Hilltop Holdings Inc., any stockholder 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 1,521 shares of common stock held in an individual retirement account for the benefit of the reporting person.