SEC Form 4 · accession 0001104659-17-025542
Hilltop Holdings Inc. · HTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gerald J Ford
Director · 10% Owner
Period of report
Apr 20, 2017
Accepted (ET)
Apr 24, 2017 · 7:51 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 StockF1,F2 | Apr 20, 2017 | A | 2,008 | $26.76 | A | 99,874 | D | |
| Common StockF3 | Apr 20, 2017 | G | 2,008 | $0.00 | D | 97,866 | D | |
| Common StockF3,F4 | Apr 20, 2017 | G | 2,008 | $0.00 | A | 20,484 | I | By trust |
| Common StockF5 | holding | — | — | — | 15,544,674 | I | By Diamond A Financial, LP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares acquired pursuant to the Hilltop Holdings Inc. 2012 Equity Incentive Plan as compensation for services rendered as a director in the first calendar quarter of 2017.
- F2Price per share calculated using the average closing price per share for the period from March 20, 2017 to March 31, 2017.
- F3The reporting person gifted these shares to the Turtle Creek Revocable Trust, a revocable trust for the benefit of the members of his family (the "Trust").
- F4Represents securities owned directly by the Trust and indirectly by the reporting person as the settlor of the Trust. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
- F5Represents securities owned directly by Diamond A Financial, LP and indirectly by the reporting person as a general partner of Diamond A Financial, LP. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.