0001144204-15-000033.txt : 20150102 0001144204-15-000033.hdr.sgml : 20150101 20150102062618 ACCESSION NUMBER: 0001144204-15-000033 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150101 FILED AS OF DATE: 20150102 DATE AS OF CHANGE: 20150102 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OHCM Management, LLC CENTRAL INDEX KEY: 0001604655 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19483 FILM NUMBER: 15500075 BUSINESS ADDRESS: STREET 1: 201 MAIN STREET CITY: FORT WORTH STATE: TX ZIP: 76102 BUSINESS PHONE: 817-338-8311 MAIL ADDRESS: STREET 1: 201 MAIN STREET CITY: FORT WORTH STATE: TX ZIP: 76102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OAK HILL CAPITAL MANAGEMENT, LLC CENTRAL INDEX KEY: 0001537607 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19483 FILM NUMBER: 15500076 BUSINESS ADDRESS: STREET 1: 65 E. 55TH STREET STREET 2: 32ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-527-8400 MAIL ADDRESS: STREET 1: 65 E. 55TH STREET STREET 2: 32ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4 1 v397811_4.xml OWNERSHIP DOCUMENT X0306 4 2015-01-01 1 0000878520 Hilltop Securities Holdings LLC SWS 0001537607 OAK HILL CAPITAL MANAGEMENT, LLC 65 EAST 55TH STREET, 32ND FLOOR NEW YORK NY 10022 0 0 1 0 0001604655 OHCM Management, LLC 65 EAST 55TH STREET, 32ND FLOOR NEW YORK NY 10022 0 0 1 0 Common Stock 2015-01-01 4 S 0 19925 D 0 D 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. OAK HILL CAPITAL MANAGEMENT, LLC, by: OHCM Management, LLC, its managing member, by: /s/ Kevin Levy; Title: Vice President 2015-01-02 OHCM MANAGEMENT, LLC, by: /s/ Kevin Levy; Title: Vice President 2015-01-02