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Filing Details

Accession Number:: 0001104659-14-060032
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-08-12 18:46:55
Reporting Period:: 2014-08-05

Filing Date:: 2014-08-12
Accepted Time:: 2014-08-12 18:46:55
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1265131	Hilltop Holdings Inc.	HTH	State Commercial Banks (6022)	841477939

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1456811	Jerry Schaffner	200 Crescent Court, Suite 1330 Dallas TX 75201	Plainscapital Bank Pres. & Ceo	No	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2014-08-05	36,920	$0.00	0	No	4	I	Indirect	By ESOP
Common Stock	Disposition	2014-08-05	2,472	$0.00	1,459	No	4	I	Indirect	By Wife
Common Stock	Disposition	2014-08-11	5,000	$20.02	203,714	No	4	S	Direct
Common Stock	Disposition	2014-08-12	5,000	$20.00	198,714	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	I	Indirect	By ESOP
No	4	I	Indirect	By Wife
No	4	S	Direct
No	4	S	Direct

Footnotes

Pursuant to Rule 16a-3(g)(3), represents the date on which the trustee of the Plains Capital Corporation Employee Stock Ownership Plan (the "ESOP") informed the reporting person that certain of the shares allocated to the account of the reporting person or his spouse were first sold.
On August 5, 2014, in connection with the termination of the ESOP, the ESOP trustee began selling all of the shares of Hilltop Holdings Inc. held for the account of persons, including the reporting person and the reporting person's spouse, who elected to receive their distributions in cash. Such shares are being sold over a period of up to sixty days (the "Sale Window"). The price of the shares sold will be determined by averaging the sale price of all shares sold on behalf of ESOP participants who elected to receive their distributions in cash over the Sale Window, and, consequently, is not calculable at this time.
Represents the total number of shares for which the reporting person or his spouse elected to receive a cash distribution, which are being sold over the Sale Window.
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 Exchange Act or otherwise, the beneficial owner of these shares.
The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $20.00 to $20.05, 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.
Includes 11,970 shares of common stock held in an individual retirement account for the benefit of the reporting person.