SEC Form 4 · accession 0001104659-18-012901
Hilltop Holdings Inc. · HTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jerry Schaffner
Officer — PlainsCapital Bank Pres & CEO
Period of report
Feb 24, 2018
Accepted (ET)
Feb 27, 2018 · 5:53 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 | Feb 24, 2018 | A | 5,402 | $0.00 | A | 123,893 | D | |
| Common StockF3,F2 | Feb 24, 2018 | F | 1,316 | $19.28 | D | 122,577 | D | |
| Common StockF4,F2 | Feb 24, 2018 | F | 1,809 | $19.28 | D | 120,768 | D | |
| Common StockF5 | holding | — | — | — | 1,459 | I | By Wife |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of common stock delivered upon the vesting of performance-based restricted stock units awarded on February 24, 2015 in connection with the achievement of certain performance criteria.
- F2Includes 11,970 shares of common stock held in an individual retirement account for the benefit of the reporting person.
- F3Represents shares of common stock withheld by the issuer to satisfy tax withholding obligations in connection with the vesting of performance-based restricted stock units awarded on February 24, 2015.
- F4Represents shares of common stock withheld by the issuer to satisfy tax withholding obligations in connection with the vesting of time-based restricted stock units awarded on February 24, 2015.
- F5The 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.