SEC Form 4 · accession 0000899243-16-034445
HOME BANCSHARES INC · HOMB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alex R Lieblong
Director
Period of report
Nov 23, 2016
Accepted (ET)
Nov 28, 2016 · 5:27 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 Stock | Nov 23, 2016 | S | 200,000 | $26.7494 | D | 924,778 | I | By Key Colony Fund (hedge fund managing partner) |
| Common Stock | Nov 25, 2016 | S | 36,000 | $26.5681 | D | 888,778 | I | By Key Colony Fund (hedge fund managing partner) |
| Common Stock | Nov 28, 2016 | S | 150,000 | $26.173 | D | 738,778 | I | By Key Colony Fund (hedge fund managing partner) |
| Common Stock | Nov 28, 2016 | M | 1,425 | $1.96 | A | 806,429 | D | |
| Common Stock | Nov 28, 2016 | M | 2,850 | $2.10 | A | 809,279 | D | |
| Common Stock | Nov 28, 2016 | M | 3,123 | $2.46 | A | 812,402 | D | |
| Common Stock | Nov 28, 2016 | M | 2,850 | $2.66 | A | 815,252 | D | |
| Common Stock | Nov 28, 2016 | M | 4,752 | $4.30 | A | 820,004 | D | |
| Common Stock | Nov 28, 2016 | S | 15,000 | $25.7064 | D | 805,004 | D | |
| Common Stock - RestrictedF1,F2 | 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 OptionF3 | $1.96 | Nov 28, 2016 | M | 1,425 | D | — | — | Common Stock | 1,425 | 0 | D |
| Stock OptionF4 | $2.10 | Nov 28, 2016 | M | 2,850 | D | — | — | Common Stock | 2,850 | 0 | D |
| Stock OptionF5 | $2.46 | Nov 28, 2016 | M | 3,123 | D | — | — | Common Stock | 3,123 | 1,152 | D |
| Stock OptionF6 | $2.66 | Nov 28, 2016 | M | 2,850 | D | — | — | Common Stock | 2,850 | 2,851 | D |
| Stock OptionF7 | $4.30 | Nov 28, 2016 | M | 4,752 | D | — | Jan 9, 2018 | Common Stock | 4,752 | 0 | D |
Explanation of responses
- F1Restricted Stock granted on January 25, 2016 will "cliff" vest 100% three years from award date.
- F2Restricted Stock granted on January 16, 2015 will "cliff" vest 100% three years from award date.
- F3The option is exercisable in five equal annual installments. None of the issued option is now remaining. The remaining option became exercisable on December 31, 2006 and would have expired on December 31, 2016.
- F4The option is exercisable in five equal annual installments. None of the issued option is now remaining. The first 20% of the remaining option became exercisable on December 31, 2006 and would have expired on December 31, 2016. The last 20% of the remaining option became exercisable on December 31, 2007 and would have expired on December 31, 2017.
- F5The option is exercisable in five equal annual installments. The remaining option became exercisable on December 31, 2008 and expires on December 31, 2018.
- F6The option is exercisable in five equal annual installments. 40% of the issued option is remaining. The first 20% of the remaining option became exercisable on December 31, 2008 and expires on December 31, 2018. The last 20% of the remaining option became exercisable on December 31, 2009 and expires on December 31, 2019.
- F7The option is exercisable in five equal annual installments beginning on January 10, 2009.