SEC Form 4 · accession 0001187376-17-000003
CONNS INC · CONN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Warren A Stephens
10% Owner
Period of report
Oct 12, 2017
Accepted (ET)
Oct 16, 2017 · 5:58 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001223389
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Oct 12, 2017 | P | 30,000 | $25.3593 | A | 2,757,920 | I | By Stephens Investments Holdings LLC |
| Common StockF2 | Oct 13, 2017 | P | 12,000 | $25.5018 | A | 2,769,920 | I | By Stephens Investments Holdings LLC |
| Common Stock | holding | — | — | — | 22,619 | I | By Warren Miles Amerine Stephens 2012 Trust | |
| Common Stock | holding | — | — | — | 385,350 | I | By Warren A. Stephens Grantors Trust | |
| Common Stock | holding | — | — | — | 285,000 | I | By Warren A. Stephens Roth IRA | |
| Common Stock | holding | — | — | — | 430,000 | I | By WAS Family Trust One | |
| Common StockF3 | holding | — | — | — | 279,831 | I | By Harriet C. Stephens Trust | |
| Common StockF4 | holding | — | — | — | 403,452 | I | By Paula W. and John P. Calhoun Family Trust | |
| Common Stock | holding | — | — | — | 931,038 | I | By Warren and Harriet Stephens Childrens Trust | |
| Common Stock | holding | — | — | — | 82,430 | I | By Stephens Inc. | |
| Common StockF5 | holding | — | — | — | 0 | I | By WAS Conns Annuity Trust One | |
| Common Stock | holding | — | — | — | 56,633 | I | By Warren Miles Amerine Stephens 1995 Trust | |
| Common Stock | holding | — | — | — | 6,352 | I | By Warren Miles Amerine Stephens Trust | |
| Common Stock | holding | — | — | — | 56,633 | I | By John Calhoun Stephens 1995 Trust | |
| Common Stock | holding | — | — | — | 6,352 | I | By John Calhoun Stephens Trust | |
| Common Stock | holding | — | — | — | 56,633 | I | By Laura Whitaker Stephens 1995 Trust | |
| Common Stock | holding | — | — | — | 6,352 | I | By Laura Whitaker Stephens Trust | |
| Common StockF6 | holding | — | — | — | 68,706 | I | By Warren Miles Amerine Stephens Revocable Trust | |
| Common StockF6 | holding | — | — | — | 68,705 | I | By John C. Stephens Revocable Trust | |
| Common StockF6 | holding | — | — | — | 68,705 | I | By Laura Whitaker Stephens Revocable Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Price is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $25.275 to $25.70, inclusive. Reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within such range.
- F2Price is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $25.45 to $25.70, inclusive. Reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within such range.
- F3Number of shares reported as indirectly owned by Harriet C. Stephens Trust reflects the receipt of 96,548 shares previously reported as indirectly owned by Paula W. & John P. Calhoun Family Trust UID 6/29/2016, a grantor retained annuity trust for the benefit of the children of Warren and Harriet Stephens.
- F4Number of shares reported as indirectly owned by Paula W. & John Cahoun Family Trust UID 6/29/2016 reflects the transfer to Harriet C. Stephens Trust of 96,548 shares pursuant to an annuity obligation.
- F5Number of shares reported as indirectly owned by WAS Conns Annuity Trust One reflects the gifts by WAS Conns Annuity Trust One of (i) 68,706 shares to Warren Miles Amerine Stephens Revocable Trust, (ii) 68,705 shares to John C. Stephens Revocable Trust, and (iii) 68,705 shares to Laura Whitaker Stephens Revocable Trust. All of such trusts are trusts established for the benefit of reporting person's children.
- F6Represents shares previously reported as indirectly owned by WAS Conns Annuity Trust One.