SEC Form 5 · accession 0000899243-18-001662
HOME BANCSHARES INC · HOMB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jim F Haynes Jr.
Other
Period of report
Dec 31, 2017
Accepted (ET)
Jan 23, 2018 · 3:31 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 StockF1 | holding | — | — | — | 4,808 | D | ||
| Common Stock - RestrictedF2 | holding | — | — | — | 10,000 | D | ||
| Common Stock - Performance BasedF3 | holding | — | — | — | 10,000 | D | ||
| Common StockF4 | holding | — | — | — | 11,484 | 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 OptionF5 | $18.46 | holding | — | — | — | — | Aug 23, 2025 | Common Stock | 40,000 | 40,000 | D |
| Stock OptionF6 | $16.77 | holding | — | — | — | — | Apr 16, 2024 | Common Stock | 20,000 | 20,000 | D |
Explanation of responses
- F1Includes 61.941 shares acquired through the Home BancShares, Inc. Dividend Reinvestment Plan since the reporting person's last filing.
- F2Restricted 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.
- F3The 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 was met on December 31, 2016 and will therefore begin vesting in 33 1/3% installments on December 31, 2019.
- F4Reflects the dollar value of the reporting person's units in a unitized stock fund under the Home BancShares, Inc. 401(k) Plan as of January 22, 2018, divided by the closing price of Home BancShares common stock on that date. The unitized stock fund consists of Home BancShares common stock and a reserve of cash in amounts that vary from time to time.
- F5The Performance Stock Option awarded on August 24, 2015 is exercisable in seven equal annual installments beginning on the first annual anniversary of the award date. The performance goal was met on December 31, 2016. Therefore, the first installment became exercisable on August 24, 2016.
- F6The option is exercisable in five equal annual installments. The first installment became exercisable on April 17, 2015.
Remarks
The issuer has determined that the reporting person does not perform significant policy-making functions for the issuer and therefore should no longer be considered an officer for purposes of Section 16. As a result, the reporting person is no longer subject to Section 16 in connection with his transactions in the equity securities of Home BancShares, Inc. and therefore will no longer report any such transactions on Form 4 or Form 5.