Form D Raw Data - Electronic Filing Depository

EFDID: 329370EFD: Raw Data

Issuer: HILLTOP SECURITIES INC. (0000891055) - D/A

Accession: 0000891055-21-000094 () (EDGAR Files) (Form D)

Edgar Posted: Dec. 17, 2021
EFD Posted: Dec. 17, 2021

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0000891055 </ cik >

< entityName > HILLTOP SECURITIES INC. </ entityName >

- < issuerAddress >

< street1 > 717 N. Harwood Street </ street1 >

< street2 > Suite 3400 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75201 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 214-953-4000 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < edgarPreviousNameList >

< previousName > SOUTHWEST SECURITIES, INC. </ previousName >

< previousName > HILLTOP SECURITIES INC. </ previousName >

< previousName > SWS SECURITIES INC. </ previousName >

</ edgarPreviousNameList >

< entityType > Corporation </ entityType >

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< overFiveYears > true </ overFiveYears >

</ yearOfInc >

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< firstName > Jonathan </ firstName >

< middleName > Scott </ middleName >

< lastName > Sobel </ lastName >

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< street1 > 717 N. Harwood Street </ street1 >

< street2 > Suite 3400 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75201 </ zipCode >

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- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

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< relationshipClarification > Chairman </ relationshipClarification >

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< firstName > Laura </ firstName >

< middleName > Bonnell </ middleName >

< lastName > Alexander </ lastName >

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< street2 > Suite 3400 </ street2 >

< city > Dallas </ city >

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< zipCode > 75201 </ zipCode >

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< firstName > Michael </ firstName >

< middleName > John </ middleName >

< lastName > Marz </ lastName >

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< street1 > 717 N. Harwood Street </ street1 >

< street2 > Suite 3400 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75201 </ zipCode >

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< relationship > Director </ relationship >

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< firstName > David </ firstName >

< middleName > King </ middleName >

< lastName > Medanich </ lastName >

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< street1 > 717 N. Harwood Street </ street1 >

< street2 > Suite 3400 </ street2 >

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< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75201 </ zipCode >

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< relationship > Director </ relationship >

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< firstName > John </ firstName >

< middleName > Richard </ middleName >

< lastName > Muschalek </ lastName >

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< street1 > 717 N. Harwood Street </ street1 >

< street2 > Suite 3400 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75201 </ zipCode >

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< relationship > Director </ relationship >

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< firstName > Maria </ firstName >

< middleName > Teresa </ middleName >

< lastName > Aguilera-Peon </ lastName >

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< street1 > 717 N. Harwood Street </ street1 >

< street2 > Suite 3400 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75201 </ zipCode >

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< relationship > Director </ relationship >

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< firstName > Martin </ firstName >

< middleName > Bradley </ middleName >

< lastName > Winges </ lastName >

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< street1 > 717 N. Harwood Street </ street1 >

< street2 > Suite 3400 </ street2 >

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< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75201 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

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< relationshipClarification > President and Chief Executive Officer </ relationshipClarification >

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< firstName > Joseph </ firstName >

< middleName > Michael </ middleName >

< lastName > Edge </ lastName >

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< street1 > 717 N. Harwood Street </ street1 >

< street2 > Suite 3400 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75201 </ zipCode >

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< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

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< relationshipClarification > Chief Financial Officer </ relationshipClarification >

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< firstName > Laura </ firstName >

< lastName > Leventhal </ lastName >

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< street1 > 717 N. Harwood Street </ street1 >

< street2 > Suite 3400 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75201 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Treasurer and Chief Accounting Officer </ relationshipClarification >

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- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Michael </ firstName >

< middleName > Anthony </ middleName >

< lastName > Cogliano </ lastName >

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< street1 > 717 N. Harwood Street </ street1 >

< street2 > Suite 3400 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75201 </ zipCode >

</ relatedPersonAddress >

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< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Chief Compliance Officer </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Brian </ firstName >

< middleName > Lane </ middleName >

< lastName > Wittneben </ lastName >

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< street1 > 717 N. Harwood Street </ street1 >

< street2 > Suite 3400 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75201 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > General Counsel and Secretary </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Michael </ firstName >

< middleName > Andrew </ middleName >

< lastName > Lyons </ lastName >

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< street1 > 717 N. Harwood Street </ street1 >

< street2 > Suite 3400 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75201 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Assistant Secretary </ relationshipClarification >

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Other Banking and Financial Services </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > Decline to Disclose </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06b </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > true </ isAmendment >

< previousAccessionNumber > 0000891055-21-000069 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2019-12-20 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > true </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isDebtType > true </ isDebtType >

< isOtherType > true </ isOtherType >

< descriptionOfOtherType > Senior Secured Commercial Paper Notes - Series 2019-1 </ descriptionOfOtherType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 100000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > N/A </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > Hilltop Securities Inc. </ associatedBDName >

< associatedBDCRDNumber > 6220 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 717 N. Harwood Street </ street1 >

< street2 > Suite 3400 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75201 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > Indefinite </ totalOfferingAmount >

< totalAmountSold > 1705497000 </ totalAmountSold >

< totalRemaining > Indefinite </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 66 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 2620577 </ dollarAmount >

< isEstimate > true </ isEstimate >

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- < findersFees >

< dollarAmount > 0 </ dollarAmount >

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< clarificationOfResponse />

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- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > HILLTOP SECURITIES INC. </ issuerName >

< signatureName > /s/ Michael Cogliano </ signatureName >

< nameOfSigner > Michael Cogliano </ nameOfSigner >

< signatureTitle > Chief Compliance Officer </ signatureTitle >

< signatureDate > 2021-12-17 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >