0001104659-17-014139.txt : 20170303 0001104659-17-014139.hdr.sgml : 20170303 20170303183043 ACCESSION NUMBER: 0001104659-17-014139 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170301 FILED AS OF DATE: 20170303 DATE AS OF CHANGE: 20170303 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Hilltop Holdings Inc. CENTRAL INDEX KEY: 0001265131 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 841477939 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 200 CRESCENT COURT STREET 2: SUITE 1330 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 214.855.2177 MAIL ADDRESS: STREET 1: 200 CRESCENT COURT STREET 2: SUITE 1330 CITY: DALLAS STATE: TX ZIP: 75201 FORMER COMPANY: FORMER CONFORMED NAME: AFFORDABLE RESIDENTIAL COMMUNITIES INC DATE OF NAME CHANGE: 20030929 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schaffner Jerry CENTRAL INDEX KEY: 0001456811 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31987 FILM NUMBER: 17665909 MAIL ADDRESS: STREET 1: C/O PLAINSCAPITAL CORPORATION STREET 2: 2323 VICTORY AVENUE, SUITE 1400 CITY: DALLAS STATE: TX ZIP: 75219 4 1 a4.xml 4 X0306 4 2017-03-01 0 0001265131 Hilltop Holdings Inc. HTH 0001456811 Schaffner Jerry 200 CRESCENT COURT, SUITE 1330 DALLAS TX 75201 0 1 0 0 PlainsCapital Bank Pres & CEO Common Stock 2017-03-01 4 S 0 7500 29.351 D 125991 D Common Stock 1459 I By Wife The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 3, 2016. The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $29.07 to $29.53, 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. 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 or otherwise, the beneficial owner of these shares. /s/ JERRY SCHAFFNER 2017-03-03