Home > Insider Trading > Filing (0001144204-15-000033)

Filing Details

Accession Number:: 0001144204-15-000033
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2015-01-02 06:26:18
Reporting Period:: 2015-01-01

Filing Date:: 2015-01-02
Accepted Time:: 2015-01-02 06:26:18
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
878520	Hilltop Securities Holdings Llc	SWS	Security Brokers, Dealers & Flotation Companies (6211)	752040825

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1537607	Oak Hill Capital Management, Llc	65 East 55Th Street, 32Nd Floor New York NY 10022		No	No	Yes	No
1604655	Ohcm Management, Llc	65 East 55Th Street, 32Nd Floor New York NY 10022		No	No	Yes	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	2015-01-01	19,925	$0.00	0	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Direct

Footnotes

Held by Oak Hill Capital Management, LLC ("OHCM LLC"). 5,963 shares of common stock, par value $0.10 per share (the "Common Stock"), of SWS Group, Inc. (the "Issuer") were previously reported as indirectly beneficially owned and were transferred to direct ownership in a transaction exempt under Rule 16a-13 of the Securities Exchange Act of 1934, as amended. The managing member of OHCM LLC is OHCM Management, LLC. Neither the filing of this statement nor anything herein shall be deemed an admission that OHCM Management, LLC is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the beneficial owner of any securities covered by this statement. OHCM Management, LLC disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of OHCM Management, LLC in such securities.
Each share of Common Stock was disposed of upon consummation of the merger (the "Merger") contemplated by that certain Agreement and Plan of Merger by and among the Issuer, Hilltop Holdings Inc. ("Hilltop") and Peruna LLC ("Peruna"), a wholly-owned subsidiary of Hilltop, dated as of March 31, 2014 (the "Merger Agreement") for the right to receive, without interest (i) 0.2496 of shares of common stock of Hilltop and (ii) an amount in cash equal to $1.94. Pursuant to the Merger Agreement, the Issuer merged with and into Peruna, with Peruna continuing as the surviving entity, and the separate corporate existence of the Issuer ceased.