SEC Form 4 · accession 0001209191-17-004933
BANK OF THE OZARKS INC · OZRK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George G Gleason II
Officer — Chairman & CEO · Director
Period of report
Jan 18, 2017
Accepted (ET)
Jan 20, 2017 · 5:10 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001038205
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 18, 2017 | A | 48,387 | $0.00 | A | 1,051,070 | D | |
| Common Stock | holding | — | — | — | 1,974,485 | I | Shares held in 401(k) at 01/18/2017 | |
| Common Stock | holding | — | — | — | 163,176 | I | Shares held by Spouse | |
| Common Stock | holding | — | — | — | 4,800 | I | Shares held in Trust for Adult Child | |
| Common Stock | holding | — | — | — | 2,571,200 | I | Shares held in Gleason Trust | |
| Common Stock | holding | — | — | — | 180,124 | I | Shares held by Trust of which Mr. Gleason, his wife, and descendants are beneficiaries |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $52.08 | Jan 18, 2017 | A | 48,387 | A | Jan 18, 2020 | Jan 18, 2024 | Common Stock | 48,387 | 48,387 | D |
Explanation of responses
- F1These shares were issued under the Company's Restricted Stock and Incentive Plan in accordance with Rule 16b-3(d) and are subject to a substantial risk of forfeiture until vested. 100% of these shares vest on 01/18/2020, three years after the date of grant, if the individual remains employed with the Company through such date.