SEC Form 4 · accession 0000950103-15-000022

Hilltop Securities Holdings LLC · SWS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Jan 1, 2015

Accepted (ET)

Jan 2, 2015 · 1:53 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	D/I	Nature of ownership
Common Stock $.10 Par Value^F1	Jan 1, 2015	D	350,683	—	D	D
Common Stock $.10 Par Value^F1	Jan 1, 2015	D	59,154	—	D	I	As trustee for minor children
Common Stock $.10 Par Value^F1	Jan 1, 2015	D	9,075	—	D	I	By children
Common Stock $.10 Par Value^F1	Jan 1, 2015	D	32,172	—	D	I	By family partnerships
Common Stock $.10 Par Value^F1	Jan 1, 2015	D	100,000	—	D	I	By family trust

No Table II lines on this filing.

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.