SEC Form 4 · accession 0000899243-17-025733
HOME BANCSHARES INC · HOMB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard H Ashley
Director
Period of report
Nov 8, 2017
Accepted (ET)
Nov 9, 2017 · 1:54 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 8, 2017 | M | 4,752 | $4.30 | A | 135,354 | D | |
| Common Stock | Nov 8, 2017 | M | 8,000 | $17.12 | A | 143,354 | D | |
| Common Stock | holding | — | — | — | 1,789,236 | I | By RH Ashley Investments LLC | |
| Common Stock - RestrictedF1,F2,F3 | holding | — | — | — | 5,500 | D | ||
| Common StockF4 | holding | — | — | — | 7,718 | I | By Wife IRA | |
| Common Stock | holding | — | — | — | 25,670 | I | By Wife | |
| Common StockF5 | holding | — | — | — | 15,389 | I | By IRA | |
| Common Stock | holding | — | — | — | 1,088 | I | Custodian for children | |
| Common Stock | holding | — | — | — | 3,500 | I | By Square Associates LLC | |
| Common Stock | holding | — | — | — | 2,248,960 | I | By Conservative Development |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF6 | $17.12 | Nov 8, 2017 | M | 8,000 | D | — | Apr 15, 2025 | Common Stock | 8,000 | 12,000 | D |
| Common StockF7 | $4.30 | Nov 8, 2017 | M | 4,752 | D | — | Jan 9, 2018 | Common Stock | 4,752 | 0 | D |
Explanation of responses
- F1Restricted Stock granted on January 20, 2017 will "cliff" vest 100% three years from award date.
- F2Restricted Stock granted on January 25, 2016 will "cliff" vest 100% three years from award date.
- F3Restricted Stock granted on January 16, 2015 will "cliff" vest 100% three years from award date.
- F4Includes 92.046 shares acquired through the Home BancShares, Inc. Dividend Reinvestment Plan since the last filing.
- F5Includes 149 shares acquired through the Home BancShares, Inc. Dividend Reinvestment Plan since the last filing.
- F6The option is exercisable in five equal annual installments. The first installment becomes exercisable on April 16, 2016.
- F7The option became exercisable in five equal annual installments beginning on January 10, 2009.