Statement of Changes in Beneficial Ownership (4)
February 28 2023 - 06:03PM
Edgar (US Regulatory)
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
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1. Name
and Address of Reporting Person * FORD GERALD
J |
2. Issuer Name and Ticker or Trading
Symbol Hilltop Holdings Inc. [ HTH ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director __X__
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
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(Last)
(First)
(Middle)
6565 HILLCREST AVENUE |
3. Date of Earliest Transaction (MM/DD/YYYY)
2/24/2023
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(Street)
DALLAS, TX 75205
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line) ___
Form filed by One Reporting Person
_ X _ 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 |
2/27/2023 |
A |
|
740.8528 (1) |
A |
$0.00 |
283134.8786 |
D (2)(3)(4)(5) |
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Common Stock |
|
|
|
|
|
|
|
82485.00 |
I |
See Footnotes (2)(3)(4)(5)(6) |
Common Stock |
|
|
|
|
|
|
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15544674.00 |
I |
See Footnotes (2)(3)(4)(5)(7) |
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) |
Shares acquired pursuant to
the reinvestment of dividends. |
(2) |
This statement is jointly
filed by and on behalf of each of Mr. Ford, Diamond HTH Stock
Company, LP ("Diamond HTH LP"), Diamond HTH Stock Company GP, LLC
("Diamond HTH LLC"), and Turtle Creek Revocable Trust (the
"Trust"). Mr. Ford, Diamond A Financial, L.P. ("Diamond A") and the
Trust are the direct beneficial owners of the securities covered by
this statement. |
(3) |
Diamond HTH LP is the
general partner of, and may be deemed to beneficially own certain
securities owned by, Diamond A. Diamond HTH LLC is the general
partner of, and may be deemed to beneficially own certain
securities owned by, Diamond HTH LP. Mr. Ford is the sole member
of, and may be deemed to beneficially own certain securities owned
by, Diamond HTH LLC. Mr. Ford is the grantor and trustee of, and
may be deemed to beneficially own certain securities owned by, the
Trust. |
(4) |
The reporting persons state
that neither the filing of this statement nor anything herein shall
be deemed an admission that such persons are, for purposes of
Section 16 of the Securities Exchange Act of 1934, as amended (the
"Exchange Act") or otherwise, the beneficial owners of any
securities covered by this statement. The reporting persons
disclaim beneficial ownership of the securities covered by this
statement, except to the extent of the pecuniary interest of such
persons in such securities. |
(5) |
The reporting persons may be
deemed to be a member of a group with respect to Hilltop Holdings
Inc. (the "Issuer") or securities of the Issuer for purposes of
Section 13(d) or 13(g) of the Exchange Act. The reporting persons
declare that neither the filing of this statement nor anything
herein shall be construed as an admission that such persons are,
for the purposes of Section 13(d) or 13(g) of the Exchange Act or
any other purpose, a member of a group with respect to the Issuer
or securities of the Issuer. |
(6) |
Represents shares directly
beneficially owned by the Trust. |
(7) |
Represents shares directly
beneficially owned by Diamond A. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
FORD GERALD J
6565 HILLCREST AVENUE
DALLAS, TX 75205 |
X |
X |
|
|
Diamond HTH Stock Company, LP
6565 HILLCREST AVENUE
DALLAS, TX 75205 |
|
X |
|
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Turtle Creek Revocable Trust
6565 HILLCREST AVENUE
DALLAS, TX 75205 |
|
X |
|
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Diamond HTH Stock Co GP, LLC
6565 HILLCREST AVENUE
DALLAS, TX 75205 |
|
X |
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Signatures
|
/s/ Gerald J. Ford |
|
2/28/2023 |
**Signature of
Reporting Person |
Date |
DIAMOND HTH STOCK COMPANY, LP By: Diamond HTH
Stock Company GP, LLC Its: General Partner By: /s/ Gerald J. Ford
Title: Sole Member |
|
2/28/2023 |
**Signature of
Reporting Person |
Date |
TURTLE CREEK REVOCABLE TRUST By: /s/ Gerald J.
Ford Title: Trustee |
|
2/28/2023 |
**Signature of
Reporting Person |
Date |
DIAMOND HTH STOCK COMPANY GP, LLC By: /s/ Gerald
J. Ford Title: Sole Member |
|
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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