SEC Form 4 · accession 0001104659-17-075070
Hilltop Holdings Inc. · HTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Gerald J Ford
Director · 10% Owner
Diamond HTH Stock Co GP, LLC
10% Owner
Turtle Creek Revocable Trust
10% Owner
Diamond HTH Stock Company, LP
10% Owner
Period of report
Dec 22, 2017
Accepted (ET)
Dec 26, 2017 · 5:49 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,F4,F5 | Dec 22, 2017 | P | 10,000 | $25.08 | A | 34,692 | I | See Footnotes |
| Common StockF1,F2,F3,F4 | holding | — | — | — | 97,866 | D | ||
| Common StockF1,F2,F3,F4,F6 | holding | — | — | — | 15,544,674 | I | See Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This statement is jointly filed by and on behalf of each of Mr. Gerald J. Ford, Diamond HTH Stock Company, LP ("Diamond HTH LP"), Diamond HTH Stock Company GP, LLC ("Diamond HTH LLC"), and Turtle Creek Revocable Trust (the "Trust"). Mr. Ford, Diamond A Financial, L.P. ("Diamond A") and the Trust are the direct beneficial owners of the securities covered by this statement.
- F2Diamond HTH LP is the general partner of, and may be deemed to beneficially own certain securities owned by, Diamond A. Diamond HTH LLC is the general partner of, and may be deemed to beneficially own certain securities owned by, Diamond HTH LP. The Trust is the sole member of, and may be deemed to beneficially own certain securities owned by, Diamond HTH LLC. Mr. Ford is the grantor and trustee of, and may be deemed to beneficially own certain securities owned by, the Trust.
- F3The reporting persons state that neither the filing of this statement nor anything herein shall be deemed an admission that such persons are, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise, the beneficial owners of any securities covered by this statement. The reporting persons disclaim beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such persons in such securities.
- F4The reporting persons may be deemed to be a member of a group with respect to Hilltop Holdings Inc. (the "Issuer") or securities of the Issuer for purposes of Section 13(d) or 13(g) of the Exchange Act. The reporting persons declare that neither the filing of this statement nor anything herein shall be construed as an admission that such persons are, for the purposes of Section 13(d) or 13(g) of the Exchange Act or any other purpose, a member of a group with respect to the Issuer or securities of the Issuer.
- F5Represents shares directly beneficially owned by the Trust, which is a revocable trust of Mr. Ford established for the benefit of the members of his family.
- F6Represents shares directly beneficially owned by Diamond A.