SEC Form 4 · accession 0000899243-18-000518
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 2, 2018
Accepted (ET)
Jan 4, 2018 · 7:04 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 Stock | Dec 5, 2017 | G | 6,250 | $0.00 | D | 4,962,146 | D | |
| Common Stock | Dec 19, 2017 | G | 300 | $0.00 | D | 4,961,846 | D | |
| Common Stock | Dec 26, 2017 | G | 9,522 | $0.00 | D | 4,952,324 | D | |
| Common Stock | Jan 2, 2018 | M | 9,504 | $4.30 | A | 4,961,828 | D | |
| Common Stock | Jan 2, 2018 | M | 71,280 | $4.27 | A | 5,033,108 | D | |
| Common Stock | Jan 2, 2018 | M | 1,425 | $2.46 | A | 5,034,533 | D | |
| Common Stock | Jan 2, 2018 | M | 1,425 | $2.66 | A | 5,035,958 | D | |
| Common Stock | Jan 2, 2018 | F | 15,329 | $23.00 | D | 5,020,629 | D | |
| Common StockF1 | holding | — | — | — | 13,984 | 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 | |
| Common Stock - RestrictedF2,F3 | holding | — | — | — | 260,000 | D | ||
| Common Stock - Performance BasedF4 | holding | — | — | — | 112,500 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF5 | $2.46 | Jan 2, 2018 | M | 1,425 | D | — | — | Common Stock | 1,425 | 0 | D |
| Stock OptionF6 | $2.66 | Jan 2, 2018 | M | 1,425 | D | — | — | Common Stock | 1,425 | 1,425 | D |
| Stock OptionF7 | $4.27 | Jan 2, 2018 | M | 71,280 | D | — | Jan 17, 2018 | Common Stock | 71,280 | 0 | D |
| Stock OptionF8 | $4.30 | Jan 2, 2018 | M | 9,504 | D | — | Jan 9, 2018 | Common Stock | 9,504 | 0 | D |
| Stock Option | $8.62 | holding | — | — | — | Jan 18, 2014 | Jan 17, 2023 | Common Stock | 100,000 | 100,000 | D |
Explanation of responses
- F1Includes 139.2004 shares acquired through the Home BancShares, Inc. 401(k) Plan since the reporting person's last filing.
- 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.
- F4The Performance Stock awarded on February 22, 2017 will cliff vest 100% beginning on the third anniversary of the date that the performance goal is met. The performance goal will be met as of the end of the fiscal quarter when either the Company's total assets equal or exceed $12.5 million or the Company has averaged $0.315 diluted earnings per share for four consecutive quarters or $1.26 total diluted earnings per share over a period of four consecutive quarters within three years of the award date.
- 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, 2004 and would have expired on December 31, 2014.
- 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, 2005 and would have expired on December 31, 2015.
- F7The option became exercisable in five equal annual installments beginning on January 18, 2009.
- F8The option became exercisable in five equal annual installments beginning on January 10, 2009.