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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 | $ 9.31 (6) | 07/22/2013 | M | 8,000 | (2) | 08/28/2017 | Common Stock | 11,880 (10) | $ 0 | 3,880 | D | ||||
Stock Option | $ 5.33 (6) | (3) | (4) | Common Stock | 3,564 (10) | 3,564 | D | ||||||||
Stock Option | $ 11.37 (6) | (5) | 10/16/2018 | Common Stock | 6,600 (10) | 6,600 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Davis Brian P.O. BOX 966 CONWAY, AR 72033 |
Chief Accounting Officer |
/s/ Brian Davis by Rachel Wesson | 07/24/2013 | |
**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) | Includes 40.165 shares acquired through the Home BancShares, Inc. 401(k) Plan since the last filing. |
(2) | The option is exercisable in five equal annual installments. The first installment became exercisable on August 29, 2008. |
(3) | The option is exercisable in five equal annual installments. The first installment became exercisable on November 22, 2005. |
(4) | The option expires 10 years from the exercisable date, therefore the first installment became exercisable on November 22, 2005 and expires on November 22, 2015. |
(5) | The option is exercisable in five equal annual installments. The first installment became exercisable on October 17, 2009. |
(6) | The exercise price decreased as a result of the Company declaring a 2-for-1 stock split to shareholders of record as of May 22, 2013 and made payable June 12, 2013. |
(7) | The Performance Stock awarded on August 2, 2012 will "cliff" vest on the third annual anniversary of the date that the performance goal is met. The performance goal will be met as of the end of the calendar quarter when the Company has averaged $0.3125 diluted earnings per share (split adjusted) for four consecutive quarters or $1.25 total diluted earnings per share (split adjusted) over a period of four consecutive quarters. |
(8) | Restricted Stock granted on February 2, 2011 will vest in 33 1/3% installments over three years each February 2nd. |
(9) | Restricted Stock granted on August 2, 2012 will "cliff" vest 100% three years from award date. |
(10) | The reporting person received shares as a result of the Company declaring a 2-for-1 stock split to shareholders of record as of May 22, 2013 and made payable June 12, 2013. |