0000876661-15-000002.txt : 20150105
0000876661-15-000002.hdr.sgml : 20150105
20150105133136
ACCESSION NUMBER: 0000876661-15-000002
CONFORMED SUBMISSION TYPE: 25-NSE
PUBLIC DOCUMENT COUNT: 2
FILED AS OF DATE: 20150105
DATE AS OF CHANGE: 20150105
EFFECTIVENESS DATE: 20150105
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: Hilltop Securities Holdings LLC
CENTRAL INDEX KEY: 0000878520
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
IRS NUMBER: 752040825
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0630
FILING VALUES:
FORM TYPE: 25-NSE
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-19483
FILM NUMBER: 15503559
BUSINESS ADDRESS:
STREET 1: SUITE 3500
STREET 2: 1201 ELM STREET
CITY: DALLAS
STATE: TX
ZIP: 75270
BUSINESS PHONE: 2146511800
MAIL ADDRESS:
STREET 1: SUITE 3500
STREET 2: 1201 ELM STREET
CITY: DALLAS
STATE: TX
ZIP: 75270
FORMER COMPANY:
FORMER CONFORMED NAME: SWS GROUP INC
DATE OF NAME CHANGE: 20021003
FORMER COMPANY:
FORMER CONFORMED NAME: SOUTHWEST SECURITIES GROUP INC
DATE OF NAME CHANGE: 19930328
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: NEW YORK STOCK EXCHANGE LLC
CENTRAL INDEX KEY: 0000876661
IRS NUMBER: 000000000
STATE OF INCORPORATION: NY
FILING VALUES:
FORM TYPE: 25-NSE
BUSINESS ADDRESS:
STREET 1: 11 WALL STREET
CITY: NEW YORK
STATE: NY
ZIP: 10005
BUSINESS PHONE: 212-656-2060
MAIL ADDRESS:
STREET 1: 11 WALL STREET
CITY: NEW YORK
STATE: NY
ZIP: 10005
FORMER COMPANY:
FORMER CONFORMED NAME: NEW YORK STOCK EXCHANGE INC
DATE OF NAME CHANGE: 19910628
25-NSE
1
primary_doc.xml
X0203
0000876661
NEW YORK STOCK EXCHANGE LLC
878520
Hilltop Securities Holdings LLC
000-19483
1201 Elm Street
Suite 3500
Dallas
TX
TEXAS
75270-2180
(214) 859-1800
Common Stock
17 CFR 240.12d2-2(a)(3)
Paras Madho
Director
2015-01-05
EX-99.25
2
ruleprovisionnotice.htm
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES
The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on January 16, 2015, pursuant to the provisions of Rule 12d2-2 (a).
[ X ] 17 CFR 240.12d2-2(a)(3) That on January 1, 2015 the instruments representing the securities comprising the entire class of this security came to evidence, by operation of law or otherwise, other securities in substitution therefore and represent no other right except, if such be the fact, the right to receive an immediate cash payment.
The merger between SWS Group, Inc. and Hilltop Holdings Inc. became effective on January 1, 2015. Each share of Common Stock of SWS Group, Inc. wasconverted into $1.94 in cash and 0.2496 of a share of Common Stock of Hilltop Holdings Inc. for each share of Common Stock of SWS Group, Inc. held.
The Exchange also notifies the Securities and Exchange Commission that as a result of the above indicated conditions this security was suspended from trading on January 2, 2015.