SEC Form 4 · accession 0001245105-17-000071
BEAR STATE FINANCIAL, INC. · BSF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Daniel C. Horton
Director
Period of report
Jun 16, 2017
Accepted (ET)
Jun 20, 2017 · 3:03 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001006424
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 16, 2017 | M | 2,066 | — | A | 3,166 | D | |
| Common Stock | Jun 16, 2017 | F | 659 | $9.39 | D | 2,507 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Jun 16, 2017 | M | 2,066 | A | — | — | Common Stock | 2,066 | 2,479 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2On June 16, 2014, the reporting person was granted 3,100 restricted stock units (subsequently adjusted to 3,444 restricted stock units following the Company's 1-for-9 stock dividend in December 2014), vesting 60% on the third anniversary of the grant date, with the remainder vesting in two equal installments on the fourth and fifth anniversaries of the grant date. In a prior filing, the reporting person inadvertently reported an incorrect grant date of June 13, 2014 for this award, instead of the actual grant date of June 16, 2014.