SEC Form 4 · accession 0001104659-15-000435
Hilltop Securities Holdings LLC · SWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Hilltop Holdings Inc.
10% Owner
Period of report
Jan 1, 2015
Accepted (ET)
Jan 5, 2015 · 9:20 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 StockF1 | Jan 1, 2015 | J | 10,171,039 | $0.00 | D | 0 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1As of 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"), the Issuer merged with and into Hilltop Securities Holdings LLC (formerly Peruna LLC) ("Hilltop Securities"), with Hilltop Securities surviving the merger as a wholly owned subsidiary of Hilltop. Pursuant to the terms of the Merger Agreement, these shares were cancelled and Hilltop was not entitled to receive the merger consideration in respect of such shares.