SEC Form 4 · accession 0001562180-18-004523
Hilltop Holdings Inc. · HTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Hill A Feinberg
Officer — Hilltop Securities CEO · Director
Period of report
Nov 9, 2018
Accepted (ET)
Nov 13, 2018 · 5:02 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 9, 2018 | S | 3,263 | $19.9509 | D | 868,692 | D | |
| Common StockF2 | Nov 12, 2018 | S | 34,400 | $19.817 | D | 834,292 | D | |
| Common StockF3 | Nov 13, 2018 | S | 13,337 | $19.9832 | D | 820,955 | D | |
| Common StockF4 | holding | — | — | — | 25,776 | I | By Wife | |
| Common StockF4 | holding | — | — | — | 776 | I | By Max McDermott Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $19.95 to $19.955, 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.
- F2The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $19.77 to $19.945, 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.
- F3The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $19.90 to $20.065, 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.
- F4The 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.