SEC Form 4 · accession 0001209191-17-005680
BANK OF THE OZARKS INC · OZRK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dennis R James
Officer — EVP/Director of M & A
Period of report
Jan 25, 2017
Accepted (ET)
Jan 26, 2017 · 1:35 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 Stock | Jan 25, 2017 | M | 2,800 | $9.4175 | A | 40,302 | D | |
| Common Stock | Jan 25, 2017 | M | 1,600 | $11.8425 | A | 41,902 | D | |
| Common Stock | Jan 25, 2017 | S | 2,800 | $55.59 | D | 39,102 | D | |
| Common Stock | Jan 25, 2017 | S | 1,600 | $55.59 | D | 37,502 | D | |
| Common Stock | holding | — | — | — | 8,413 | I | Shares held in 401(k) at 01/25/2017 | |
| Common Stock | holding | — | — | — | 10,730 | I | Shares held by Spouse |
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) | $9.4175 | Jan 25, 2017 | M | 2,800 | D | Oct 19, 2013 | Oct 19, 2017 | Common Stock | 2,800 | 0 | D |
| Employee Stock Option (Right to Buy) | $11.8425 | Jan 25, 2017 | M | 1,600 | D | Oct 18, 2014 | Oct 18, 2018 | Common Stock | 1,600 | 0 | D |