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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option | $ 17.12 | (8) | 04/15/2025 | Common Stock | 16,000 | 16,000 | D | ||||||||
Stock Option | $ 2.66 | (9) | 12/31/2019 | Common Stock | 1,425 | 1,425 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Engelkes Jack P.O. BOX 966 CONWAY, AR 72033 |
X |
/s/ Jack Engelkes by Micah Osborne | 01/23/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Restricted Stock granted on January 18, 2019 will vest in 33 1/3% installments over three years beginning on the first anniversary of the award date. |
(2) | The reporting person had 500 shares vest since the last filing. |
(3) | Restricted Stock granted on January 19, 2018 will vest in 33 1/3% installments over three years beginning on the first anniversary of the award date. |
(4) | Restricted Stock granted on January 20, 2017 will "cliff" vest 100% three years from award date. |
(5) | Restricted Stock granted on January 25, 2016 will "cliff" vest 100% three years from award date. |
(6) | Includes 947.4520 shares acquired through the Home BancShares, Inc. Dividend Reinvestment Plan since the last filing. |
(7) | Includes 79.690 shares acquired through the Home BancShares, Inc. Dividend Reinvestment Plan since the last filing. |
(8) | The option is exercisable in five equal annual installments. The first installment became exercisable on April 16, 2016. |
(9) | 20% of the issued option is remaining. The remaining options became exercisable on December 31, 2009. |