SEC Form 4 · accession 0000899243-17-001202
HOME BANCSHARES INC · HOMB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John W Allison
Officer — Chairman · Director
Period of report
Jan 10, 2017
Accepted (ET)
Jan 12, 2017 · 5:20 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 14, 2016 | G | 39,526 | $0.00 | D | 4,954,458 | D | |
| Common Stock | Nov 15, 2016 | G | 38,790 | $0.00 | D | 4,915,668 | D | |
| Common Stock | Nov 16, 2016 | G | 39,078 | $0.00 | D | 4,876,590 | D | |
| Common Stock | Nov 17, 2016 | G | 38,880 | $0.00 | D | 4,837,710 | D | |
| Common Stock | Nov 18, 2016 | G | 6,850 | $0.00 | D | 4,830,860 | D | |
| Common Stock | Jan 10, 2017 | M | 1,425 | $2.10 | A | 4,832,285 | D | |
| Common Stock | Jan 10, 2017 | M | 1,425 | $2.46 | A | 4,833,710 | D | |
| Common Stock | Jan 10, 2017 | M | 1,425 | $2.66 | A | 4,835,135 | D | |
| Common Stock | Jan 10, 2017 | M | 95,040 | $5.08 | A | 4,930,175 | D | |
| Common Stock | Jan 10, 2017 | F | 17,945 | $27.48 | D | 4,912,230 | D | |
| Common Stock - RestrictedF1,F2,F3 | holding | — | — | — | 286,666 | D | ||
| Common StockF4 | holding | — | — | — | 13,753 | I | By 401(k) | |
| Common Stock | holding | — | — | — | 67,328 | I | By Capital Buyers | |
| Common Stock | holding | — | — | — | 16,272 | I | By IRA | |
| Common Stock | holding | — | — | — | 855,360 | I | By wife |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF5 | $2.10 | Jan 10, 2017 | M | 1,425 | D | — | — | Common Stock | 1,425 | 0 | D |
| Stock OptionF6 | $2.46 | Jan 10, 2017 | M | 1,425 | D | — | — | Common Stock | 2,851 | 1,425 | D |
| Stock OptionF7 | $2.66 | Jan 10, 2017 | M | 1,425 | D | — | — | Common Stock | 4,276 | 2,851 | D |
| Stock OptionF8 | $5.08 | Jan 10, 2017 | M | 95,040 | D | — | Jan 18, 2017 | Common Stock | 95,040 | 0 | D |
| Stock OptionF9 | $4.27 | holding | — | — | — | — | Jan 17, 2018 | Common Stock | 71,280 | 71,280 | D |
| Stock OptionF10 | $4.30 | holding | — | — | — | — | Jan 9, 2018 | Common Stock | 9,504 | 9,504 | D |
| Stock Option | $8.62 | holding | — | — | — | Jan 18, 2014 | Jan 17, 2023 | Common Stock | 100,000 | 100,000 | D |
Explanation of responses
- F1Restricted Stock granted on January 25, 2016 will "cliff" vest 100% three years from award date.
- F10The option became exercisable in five equal annual installments beginning on January 10, 2009.
- F2Restricted Stock granted on January 17, 2014 will vest in 33 1/3% installments over three years each January 17th.
- F3Restricted Stock granted on January 16, 2015 will "cliff" vest 100% three years from award date.
- F4Includes 46.206 shares acquired through the Home BancShares, Inc. 401(k) Plan since the reporting person's last filing.
- F5The option is exercisable in five equal annual installments and expires 10 years from the exercisable date, therefore the first installment became exercisable on December 31, 2003 and would have expired on December 31, 2013.
- F6The option is exercisable in five equal annual installments and expires 10 years from the exercisable date, therefore the first installment became exercisable on December 31, 2004 and would have expired on December 31, 2014.
- F7The option is exercisable in five equal annual installments and expires 10 years from the exercisable date, therefore the first installment became exercisable on December 31, 2005 and would have expired on December 31, 2015.
- F8The option became exercisable in two equal annual installments beginning on January 19, 2008.
- F9The option became exercisable in five equal annual installments beginning on January 18, 2009.