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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option | $ 3.08 | 11/13/2013 | M | 2,851 | (2) | (2) | Common Stock | 2,851 | $ 0 | 2,851 | D | ||||
Stock Option | $ 3.5 | 11/13/2013 | M | 712 | (3) | (3) | Common Stock | 712 | $ 0 | 1,425 | D | ||||
Stock Option | $ 3.92 | 11/13/2013 | M | 712 | (4) | (4) | Common Stock | 712 | $ 0 | 2,138 | D | ||||
Stock Option | $ 4.21 | 11/13/2013 | M | 712 | (5) | (5) | Common Stock | 712 | $ 0 | 2,852 | D | ||||
Stock Option | $ 4.78 | 11/13/2013 | M | 2,879 | (8) | (8) | Common Stock | 2,879 | $ 0 | 17,276 | D | ||||
Stock Option | $ 4.92 | (6) | (6) | Common Stock | 3,564 | 3,564 | D | ||||||||
Stock Option | $ 5.33 | (7) | (7) | Common Stock | 3,564 | 3,564 | D | ||||||||
Stock Option | $ 5.33 | 07/27/2005 | 07/27/2015 | Common Stock | 178,200 | 178,200 | D | ||||||||
Performance Stock Option | $ 5.54 | 01/01/2010 | 03/13/2016 | Common Stock | 88,957 | 88,957 | D | ||||||||
Stock Option | $ 8.54 | (1) | 01/17/2018 | Common Stock | 35,640 | 35,640 | D | ||||||||
Stock Option | $ 8.6 | (10) | 01/09/2018 | Common Stock | 4,752 | 4,752 | D | ||||||||
Stock Option | $ 10.16 | (9) | 01/18/2017 | Common Stock | 47,520 | 47,520 | D | ||||||||
Stock Option | $ 17.25 | 01/18/2014 | 01/17/2023 | Common Stock | 50,000 | 50,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ALLISON JOHN W P.O. BOX 966 CONWAY, AR 72033 |
X | Chairman |
/s/John W. Allison by Rachel Wesson | 11/13/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The option became exercisable in five equal annual installments beginning on January 18, 2009. |
(2) | The 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, 2000 and would have expired on December 31, 2010. |
(3) | The 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, 2001 and would have expired on December 31, 2011. |
(4) | The 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, 2002 and would have expired on December 31, 2012. |
(5) | The 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 expires on December 31, 2013. |
(6) | The 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 expires on December 31, 2014. |
(7) | The 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 expires on December 31, 2015. |
(8) | 3,456 options (split adjusted) have an expiration date of December 31, 2014. The remaining 13,820 options (spilt adjusted) vested on January 1, 2005 with an expiration date of January 1, 2015. |
(9) | The option became exercisable in two equal annual installments beginning on January 19, 2008. |
(10) | The option became exercisable in five equal annual installments beginning on January 10, 2009. |
(11) | Restricted Stock granted on January 18, 2013 will vest in 33 1/3% installments over three years each January 18th. |
(12) | Restricted Stock granted on February 2, 2011 will vest in 33 1/3% installments over three years each February 2nd. |
(13) | Includes 828.320335 shares acquired by the Home BancShares, Inc. Dividend Reinvestment Plan since the last filing. |