Statement of Changes in Beneficial Ownership (4)
28 Februar 2023 - 11:59PM
Edgar (US Regulatory)
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FORM 4
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
|
|
| 1. Name
and Address of Reporting Person * Schaffner
Jerry |
2. Issuer Name and Ticker or Trading
Symbol Hilltop Holdings Inc. [ HTH ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
PlainsCapital Bank Pres & CEO |
|
(Last)
(First)
(Middle)
6565 HILLCREST AVENUE |
3. Date of Earliest Transaction (MM/DD/YYYY)
2/24/2023
|
|
(Street)
DALLAS, TX 75205
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
Amount |
(A) or (D) |
Price |
|
Common Stock |
2/24/2023 |
|
S |
|
40000.00 |
D |
$33.3339 (1) |
136763.00 (2) |
D |
|
|
Common Stock |
|
|
|
|
|
|
|
1459.00 (3) |
I |
By Wife |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Explanation of
Responses: |
| (1) |
The price reported is a
weighted average price. The shares were sold in multiple
transactions at prices ranging from $33.2932 to $33.4044,
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. |
| (2) |
Includes 11,970 shares of
common stock held in an individual retirement account for the
benefit of the reporting person. |
| (3) |
The 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. |
Reporting
Owners
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
Schaffner Jerry
6565 HILLCREST AVENUE
DALLAS, TX 75205 |
|
|
PlainsCapital Bank Pres & CEO |
|
Signatures
|
|
/s/ JERRY SCHAFFNER |
|
2/28/2023 |
| **Signature of
Reporting Person |
Date |
|
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
| * |
If the form is filed by more than one
reporting person, see Instruction 4(b)(v). |
| ** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. See 18
U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
|
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB control number. |
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