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