SEC Form 5 · accession 0000899243-17-003434
HOME BANCSHARES INC · HOMB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert F Birch Jr.
Officer — Centennial Bank Regional Pres.
Period of report
Dec 31, 2016
Accepted (ET)
Feb 10, 2017 · 3:11 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 | holding | — | — | — | 256,102 | I | By the Bob Birch Trust | |
| Common Stock | holding | — | — | — | 2,814 | I | By wife's IRA | |
| Common StockF1 | holding | — | — | — | 42,040 | D | ||
| Common Stock - RestrictedF2 | holding | — | — | — | 10,000 | D | ||
| Common Stock - Performance BasedF3,F4 | holding | — | — | — | 10,000 | D | ||
| Common StockF5 | holding | — | — | — | 62,124,495 | I | By 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance Stock OptionF6 | $18.46 | holding | — | — | — | — | Aug 23, 2025 | Common Stock | 40,000 | 40,000 | D |
Explanation of responses
- F1Includes 205.5610 shares acquired by the Home BancShares, Inc. Dividend Reinvestment Plan since the last filing.
- F2The Performance Stock awarded on August 2, 2012 will "cliff" vest on the third annual anniversary of the date that the performance goal is met. The performance goal was met on September 30, 2013 and therefore "cliff" vested 100% on September 30, 2016.
- F3Restricted Stock granted on August 24, 2015 will vest in 33 1/3% installments over five years beginning on the third anniversary of the award date.
- F4The Performance Stock awarded on August 24, 2015 will vest in 33 1/3% installments over five years beginning on the third annual anniversary of the date that the performance goal is met. The performance goal will be met as of the end of the calendar quarter when the Company has averaged $0.3125 diluted earnings per share (split adjusted) for four consecutive quarters or $1.25 total diluted earnings per share (split adjusted) over a period of four consecutive quarters.
- F5Includes 208.727 shares acquired by the Home BancShares, Inc. 401(k) Plan since the last filing.
- F6Once the performance goal has been met, the Performance Stock Option awarded on August 24, 2015 will become exercisable in seven equal annual installments beginning on the first annual anniversary of the award date. The performance goal will be met as of the end of the calendar quarter when the Company has averaged $0.3125 diluted earnings per share (split adjusted) for four consecutive quarters or $1.25 total diluted earnings per share (split adjusted) over a period of four consecutive quarters.