HTH Form 144: Notice of proposed share sales

HTH filed a Form 144 notice reporting proposed resales of common stock.

Rhea-AI Filing Summary

HTH filed a Form 144 notice reporting proposed resales of common stock. The filing lists a broker, Morgan Stanley Smith Barney LLC, and shows a proposed quantity of 2,000 shares with an aggregate dollar figure of $76,000.00 and an identifier 58530197, with a filing/date entry of 05/05/2026. The excerpt also lists planned sales tied to an Employee Stock Purchase Plan and Restricted Stock on several dates with quantities of 55, 53, 1,252, and 640.

Key Figures

Proposed shares: 2,000 shares Aggregate dollar figure: $76,000.00 Planned ESPP sale (Dec 29, 2023): 55 shares +3 more

6 metrics

Proposed shares 2,000 shares listed alongside $76,000.00 and identifier 58530197

Aggregate dollar figure $76,000.00 associated with the 2,000 shares entry

Planned ESPP sale (Dec 29, 2023) 55 shares Employee Stock Purchase Plan, 12/29/2023

Planned ESPP sale (Mar 29, 2024) 53 shares Employee Stock Purchase Plan, 03/29/2024

Restricted stock planned sale (Feb 8, 2025) 1,252 shares Restricted Stock, 02/08/2025

Restricted stock planned sale (Feb 23, 2024) 640 shares Restricted Stock, 02/23/2024

Key Terms

Form 144, Employee Stock Purchase Plan, Restricted Stock, Broker

4 terms

Form 144 regulatory

"filed a <b>Form 144</b> notice reporting proposed resales"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Employee Stock Purchase Plan financial

"Employee Stock Purchase Plan | Issuer | 55 | 12/29/2023"

An employee stock purchase plan is a company program that lets workers buy shares through small payroll deductions, often at a discount to the market price and after a set offering period. Think of it like a workplace savings plan that turns into ownership: it encourages employees to share in the company’s success and can create predictable buying or selling of stock that investors watch because it affects supply, demand and employee incentives.

Restricted Stock financial

"Restricted Stock | Issuer | 1,252 | 02/08/2025"

Shares granted to an individual that carry limits on transfer or sale until certain conditions are met, such as staying with the company for a set time or hitting performance targets. Think of them as a locked gift that gradually opens; for investors they matter because they affect how many shares may enter the market later, signal management incentives and potential dilution, and reveal confidence in future company performance.

Broker market

"Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York"

A broker is a licensed professional or firm that helps investors buy and sell financial assets by executing trades on their behalf, acting like a marketplace agent or matchmaker between buyers and sellers. Brokers matter to investors because they provide access to markets, handle order execution and paperwork, and can offer research or advice—services that affect trade speed, costs, and the quality of investment decisions.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does HTH's Form 144 filing report?

The filing reports proposed resales of common stock. It lists 2,000 shares tied to an aggregate figure of $76,000.00 and additional planned sales of 55, 53, 1,252, and 640 shares on specified dates.

Who is the broker handling the planned sales in HTH's Form 144?

The broker named is Morgan Stanley Smith Barney LLC located at 1 New York Plaza, 8th Floor, New York. The filing lists the broker as the intermediary for the reported proposed resales.

Are the planned sales linked to employee plans in the HTH filing?

Yes. The excerpt ties several planned sales to an Employee Stock Purchase Plan and to Restricted Stock grants, with specific dates and share counts listed in the filing excerpt.

What identifier and date appear in the HTH Form 144 excerpt?

The excerpt shows an identifier 58530197 alongside an entry of 05/05/2026. The filing also references NYSE as the exchange for the common stock.

Does the Form 144 excerpt state total proceeds or sales methods?

The provided excerpt includes an aggregate dollar figure of $76,000.00 for the 2,000 shares but does not detail proceeds recipients or the specific sales methods beyond listing the broker and plan types.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 05/05/2026 - 04:13 PM EDT Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001420756
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	HILLTOP HOLDINGS INC.
SEC File Number	001-31987
Address of Issuer	6565 Hillcrest Avenue Dallas TEXAS 75205
Phone	(214) 855-2177
Name of Person for Whose Account the Securities are To Be Sold	KEITH BORNEMANN
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	2000	76000.00	58530197	05/05/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	12/29/2023	Employee Stock Purchase Plan	Issuer			55	12/29/2023	Cash
Common	03/29/2024	Employee Stock Purchase Plan	Issuer			53	03/29/2024	Cash
Common	02/08/2025	Restricted Stock	Issuer			1252	02/08/2025	Not Applicable
Common	02/23/2024	Restricted Stock	Issuer			640	02/23/2024	Not Applicable

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks
Date of Notice	05/05/2026
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ Keith E. Bornemann
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)