SEC Filing Summary: Hilltop Holdings Inc. (13F-HR)
Business Context and Reporting Period
This filing is a Form 13F-HR submitted by Hilltop Holdings Inc., an institutional investment manager, for the quarter ended September 30, 2016. The report was signed on November 14, 2016, by Corey G. Prestidge, Executive Vice President, General Counsel, and Secretary. The filing covers the investment holdings of Hilltop Holdings Inc. and includes two other affiliated managers: PlainsCapital Corp and PlainsCapital Bank.
Key Financial Metrics
As a Form 13F filing, this document reports equity holdings rather than the operating financial performance (revenue, profit, cash flow) of the manager itself. Key portfolio metrics reported include:
- Total Portfolio Value: $317,678,000 (reported in thousands).
- Total Number of Holdings: 442 entries.
- Number of Included Managers: 2 additional managers (PlainsCapital Corp and PlainsCapital Bank).
The filing text does not provide data on revenue, profit margins, debt, or liquidity for Hilltop Holdings Inc. as an operating entity.
Material Changes
The filing text does not provide comparative data against the prior quarter (June 30, 2016) to determine material changes in portfolio value or composition. This form serves as a snapshot of holdings at the end of the reporting period.
Guidance, Outlook, and Risks
Form 13F filings are statutory disclosures of equity positions and do not contain management commentary, forward-looking guidance, risk factors, or contingency disclosures regarding the manager's future operations. The filing includes a standard disclaimer that the SEC has not reviewed the information for accuracy or completeness.
Investor Verification Checklist
- Verify the total portfolio value of $317.7 million against the company's 10-Q or 10-K filings for the same period to understand the proportion of assets under management.
- Confirm the specific equity positions within the 442 reported entries to assess sector concentration.
- Review the filings of the included managers (PlainsCapital Corp and PlainsCapital Bank) to ensure no double-counting of assets if analyzing the broader group.
- Note that this document does not reflect the company's own financial health (e.g., earnings, debt levels); refer to 10-Q/10-K for those metrics.