Insider · CIK 0001249611

THOMPSON W NORMAN

Reports to the SEC for 1 company · DALLAS, TX

sec.gov

Transactions

Companies

Filings

CIK

0001249611

Forms 4 and 5

Insider transactions

43 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2015-01-01	Hilltop Securities Holdings LLCD Disposition to Issuer	CIO	DDisposition to Issuer	−37.3K sh	—	—	8,573
2015-01-01	Hilltop Securities Holdings LLCD Disposition to Issuer	CIO	DDisposition to Issuer	−8,573 sh	—	—	0
2015-01-01	Hilltop Securities Holdings LLCD Disposition to Issuer	CIO	DDisposition to Issuer	−11.9K sh	—	—	0
2015-01-01	Hilltop Securities Holdings LLCDeferred Compensation Phantom StockD Disposition to Issuer	CIO	DDisposition to Issuer	−2,738 sh	—	—	0
2014-08-21	Hilltop Securities Holdings LLCF Tax Payment	CIO	FTax Payment	−792 sh	—	—	45,900
2014-08-20	Hilltop Securities Holdings LLCA Award	CIO	AAward	+8,573 sh	—	—	46,692
2013-08-21	Hilltop Securities Holdings LLCA Award	CIO	AAward	+8,993 sh	—	—	38,119
2012-08-24	Hilltop Securities Holdings LLCF Tax Payment	CIO	FTax Payment	−201 sh	—	—	29,126
2012-02-02	Hilltop Securities Holdings LLCA Award	CIO	AAward	+16.8K sh	—	—	29,327
2011-08-25	Hilltop Securities Holdings LLCF Tax Payment	CIO	FTax Payment	−224 sh	—	—	12,571
2011-08-24	Hilltop Securities Holdings LLCF Tax Payment	CIO	FTax Payment	−201 sh	—	—	12,795
2011-06-30	Hilltop Securities Holdings LLCL Small Acquisition	CIO	LSmall Acquisition	+1,066 sh	—	—	11,875
2011-06-30	Hilltop Securities Holdings LLCDeferred Compensation Phantom StockA Award	CIO	AAward	+69 sh	—	—	2,733
2010-08-25	Hilltop Securities Holdings LLCF Tax Payment	CIO	FTax Payment	−224 sh	—	—	15,834.75
2010-08-24	Hilltop Securities Holdings LLCF Tax Payment	CIO	FTax Payment	−463 sh	—	—	16,170.75
2010-06-30	Hilltop Securities Holdings LLCL Small Acquisition	CIO	LSmall Acquisition	+242 sh	—	—	12,063
2009-08-25	Hilltop Securities Holdings LLCF Tax Payment	CIO	FTax Payment	−447 sh	—	—	13,683
2009-08-24	Hilltop Securities Holdings LLCA Award	CIO	AAward	+2,283 sh	—	—	14,392
2009-08-24	Hilltop Securities Holdings LLCF Tax Payment	CIO	FTax Payment	−262 sh	—	—	14,130
2009-06-30	Hilltop Securities Holdings LLCL Small Acquisition	CIO	LSmall Acquisition	+804 sh	—	—	10,567
2009-06-30	Hilltop Securities Holdings LLCDeferred Compensation Phantom StockA Award	CIO	AAward	+53 sh	—	—	2,591
2008-08-25	Hilltop Securities Holdings LLCA Award	CIO	AAward	+2,550 sh	—	—	12,844
2008-08-25	Hilltop Securities Holdings LLCF Tax Payment	CIO	FTax Payment	−735 sh	—	—	12,109
2008-06-30	Hilltop Securities Holdings LLCL Small Acquisition	CIO	LSmall Acquisition	+929 sh	—	—	9,763
2008-06-30	Hilltop Securities Holdings LLCDeferred Compensation Phantom StockA Award	CIO	AAward	+160 sh	—	—	2,538
2006-08-25	Hilltop Securities Holdings LLCA Award	CIO	AAward	+1,694 sh	—	—	4,879
2005-08-25	Hilltop Securities Holdings LLCA Award	CIO	AAward	+1,892 sh	—	—	3,185
2005-08-17	Hilltop Securities Holdings LLCDeferred Compensation Phantom StockA Award	CIO	AAward	+63 sh	—	—	1,477
2005-07-28	Hilltop Securities Holdings LLCL Small Acquisition	CIO	LSmall Acquisition	+2 sh	—	—	1,293
2005-06-30	Hilltop Securities Holdings LLCL Small Acquisition	CIO	LSmall Acquisition	+138 sh	—	—	5,343
2004-11-12	Hilltop Securities Holdings LLCF Tax Payment	CIO	FTax Payment	−55 sh	—	—	1,291
2004-08-18	Hilltop Securities Holdings LLCA Award	CIO	AAward	+731 sh	—	—	1,346
2004-08-15	Hilltop Securities Holdings LLCDeferred Compensation Phantom StockA Award	CIO	AAward	+39 sh	—	—	1,414
2004-06-30	Hilltop Securities Holdings LLCL Small Acquisition	CIO	LSmall Acquisition	+379 sh	—	—	5,205
2003-11-12	Hilltop Securities Holdings LLCA Award	CIO	AAward	+615 sh	—	—	615
2003-10-28	Hilltop Securities Holdings LLCX Exercise of In-Money	CIO	XExercise of In-Money	+6,544 sh	$12.41	+$81.2K	0
2003-10-28	Hilltop Securities Holdings LLCX Exercise of In-Money	CIO	XExercise of In-Money	+456 sh	$13.75	+$6,270	0
2003-10-28	Hilltop Securities Holdings LLCS Sale	CIO	SSale	−6,800 sh	$21.45	−$146K	0
2003-10-28	Hilltop Securities Holdings LLCS Sale	CIO	SSale	−200 sh	$21.62	−$4,324	0
2003-10-28	Hilltop Securities Holdings LLCStock Option SWS Stock Option PlanX Exercise of In-Money	CIO	XExercise of In-Money	−456 sh	$13.75	−$6,270	6,415
2003-10-28	Hilltop Securities Holdings LLCStock Option SWS Stock Option PlanX Exercise of In-Money	CIO	XExercise of In-Money	−6,544 sh	$12.41	−$81.2K	0
2003-08-15	Hilltop Securities Holdings LLCDeferred Compensation Phantom StockA Award	CIO	AAward	+39 sh	—	—	1,375
2002-08-15	Hilltop Securities Holdings LLCDeferred Compensation Phantom StockA Award	CIO	AAward	+1,336 sh	—	—	1,336

Recent filings

Accepted (ET)
Jan 24
Hilltop Securities Holdings LLC0000950103-15-000015
SEC(opens sec.gov)
Aug 224
SWS GROUP INC0001225208-14-019045
SEC(opens sec.gov)
Aug 234
SWS GROUP INC0001225208-13-018520
SEC(opens sec.gov)
Aug 284
THOMPSON W NORMAN0001225208-12-018683
SEC(opens sec.gov)
Feb 64
THOMPSON W NORMAN0001225208-12-003137
SEC(opens sec.gov)
Aug 264
THOMPSON W NORMAN0001225208-11-020836
SEC(opens sec.gov)
Aug 264
THOMPSON W NORMAN0001225208-10-019878
SEC(opens sec.gov)
Aug 264
THOMPSON W NORMAN0001225208-09-017916
SEC(opens sec.gov)

Companies

Hilltop Securities Holdings LLCCIO

Address

1201 ELM STREET SUITE 3500

DALLAS, TX, 75270