SEC Form 4 · accession 0000950103-15-000018
Hilltop Securities Holdings LLC · SWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gerald J Ford
Director
Period of report
Jan 1, 2015
Accepted (ET)
Jan 2, 2015 · 1:46 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000878520
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock $.10 Par ValueF1 | Jan 1, 2015 | D | 19,925 | — | D | 0 | D | |
| Common Stock $.10 Par ValueF1 | Jan 1, 2015 | D | 10,171,039 | — | D | 0 | I | By Hilltop Holdings Inc. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1As of the effective time (the "Effective Time") of the transactions contemplated by the Agreement and Plan of Merger by and among the Issuer, Hilltop Holdings Inc. ("Hilltop"), and Peruna LLC, dated as of March 31, 2014 (the "Merger Agreement"), pursuant to the terms of the Merger Agreement, each share of the Issuer's common stock held by the reporting person that was outstanding as of immediately prior to the Effective Time was converted into the right to receive (a) 0.2496 shares of Hilltop common stock and (b) $1.94 in cash, without interest.