SEC Form 4 · accession 0001340317-17-000010
BEAR STATE FINANCIAL, INC. · BSF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul Lowe
Officer — Corporate Banking President
Period of report
Jan 18, 2017
Accepted (ET)
Jan 30, 2017 · 2:38 pm EST
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 Stock | Jan 18, 2017 | A | 745 | $0.00 | A | 5,261 | D | |
| Common Stock | Jan 18, 2017 | F | 294 | $10.06 | D | 4,967 | D | |
| Common StockF1 | Jan 22, 2017 | M | 556 | — | A | 5,523 | D | |
| Common Stock | Jan 22, 2017 | F | 219 | $10.25 | D | 5,304 | D | |
| Common Stock | Jan 26, 2017 | M | 658 | $0.00 | A | 5,962 | D | |
| Common Stock | Jan 26, 2017 | F | 260 | $10.13 | D | 5,702 | D | |
| Common Stock | holding | — | — | — | 951 | I | 401(K) Plan |
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 | — | Jan 18, 2017 | A | 1,491 | A | — | — | Common Stock | 1,491 | 10,065 | D |
| Restricted Stock UnitsF1,F3 | — | Jan 22, 2017 | M | 556 | D | — | — | Common Stock | 556 | 9,509 | D |
| Restricted Stock UnitsF1,F2 | — | Jan 26, 2017 | M | 658 | D | — | — | Common Stock | 658 | 8,851 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2The restricted stock units vest in two equal annual installments beginning on the first anniversary of the grant date.
- F3On January 22, 2014, the reporting person was granted 1,000 restricted stock units (subsequently adjusted to 1,111 restricted stock units following the Company's 1-for-9 stock dividend in December 2014), vesting in three equal annual installments on the first, second and third anniversaries of the grant date.