SEC Form 4 · accession 0000899243-16-033565
HOME BANCSHARES INC · HOMB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jack Engelkes
Director
Period of report
Nov 10, 2016
Accepted (ET)
Nov 15, 2016 · 6:04 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001331520
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Nov 10, 2016 | S | 10,000 | $24.4801 | D | 121,026 | D | |
| Common StockF1,F5 | Nov 11, 2016 | S | 6,319 | $24.8714 | D | 0 | I | Held in Simple IRA |
| Common StockF1,F6 | Nov 11, 2016 | S | 2,000 | $24.83 | D | 190,413 | I | Owned solely by wife |
| Common StockF1 | Nov 14, 2016 | S | 3,000 | $25.5796 | D | 118,026 | D | |
| Common StockF1 | holding | — | — | — | 44,719 | I | Custodian for daughters | |
| Common StockF1 | holding | — | — | — | 400 | I | Held in wife's IRA | |
| Common Stock - RestrictedF1,F3,F4 | holding | — | — | — | 4,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF11,F7,F1 | $2.66 | holding | — | — | — | — | — | Common Stock | 1,426 | 1,426 | D |
| Stock OptionF11,F8,F1 | $17.12 | holding | — | — | — | — | Apr 15, 2025 | Common Stock | 20,000 | 20,000 | D |
| Stock OptionF11,F1 | $2.10 | holding | — | — | — | Dec 31, 2007 | Dec 31, 2017 | Common Stock | 1,426 | 1,426 | D |
| Stock OptionF11,F9,F1 | $2.46 | holding | — | — | — | — | — | Common Stock | 2,851 | 2,851 | D |
| Stock OptionF11,F10,F1 | $4.30 | holding | — | — | — | — | Jan 9, 2018 | Common Stock | 4,752 | 4,752 | D |
Explanation of responses
- F1The reporting person received shares as a result of the Company declaring a 2-for-1 stock split to shareholders of record as of May 18, 2016 and made payable June 8, 2016.
- F10The option is exercisable in five equal annual installments. The first installment became exercisable on January 10, 2009.
- F11The exercise price decreased and the number of shares exercisable increased as a result of the Company declaring a 2-for-1 stock split to shareholders of record May 18, 2016 and made payable June 8, 2016.
- F2Includes 965.1229 split adjusted shares acquired through the Home BancShares, Inc. Dividend Reinvestment Plan since the last filing.
- F3Restricted Stock granted on January 25, 2016 will "cliff" vest 100% three years from award date.
- F4Restricted Stock granted on January 16, 2015 will "cliff" vest 100% three years from award date.
- F5Includes 72.391 split adjusted shares acquired through the Home BancShares, Inc. Dividend Reinvestment Plan since the last filing.
- F6Includes 154.926 split adjusted shares acquired through the Home BancShares, Inc. Dividend Reinvestment Plan since the last filing.
- F720% of the issued option is remaining. The 20% of the remaining option became exercisable on December 31, 2009 and expires on December 31, 2019.
- F8The option is exercisable in five equal annual installments. The first installment becomes exercisable on April 16, 2016.
- F940% of the issued option is remaining. The first 20% of the remaining option became exercisable on December 31, 2007 and expires on December 31, 2017. The last 20% of the remaining option became exercisable on December 31, 2008 and expires on December 31, 2018.