CUSIP No. 208242107
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE
13D/A
Under the Securities Exchange Act of 1934
(Amendment No. 18)
Conn’s
Inc.
(Name of Issuer)
Common Stock, par value $.01 per share
(Title of Class of Securities)
208242107
(CUSIP Number)
David A. Knight
Stephens Investments Holdings LLC
111 Center Street
Little
Rock, AR 72201
(501) 377-2573
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
September 16, 2016
(Date
of Event which Requires Filing of this Statement)
If the filing person has
previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box
¨
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Note:
Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for
other parties to whom copies are to be sent.
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*
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The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information
which would alter the disclosures provided in a prior cover page.
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The information required on the remainder of this cover page shall not be
deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act
(however, see the notes)
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CUSIP No. 208242107
SCHEDULE 13D
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1
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Name of
Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Stephens Investments Holdings LLC
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2
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Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
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3
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SEC Use Only
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4
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Source of Funds (See Instructions)
AF
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5
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Check Box if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
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6
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Citizenship or Place of
Organization
Arkansas
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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7
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Sole Voting Power
2,727,920
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8
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Shared Voting Power
0
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9
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Sole Dispositive Power
2,727,920
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10
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Shared Dispositive Power
0
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11
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Aggregate Amount Beneficially Owned by Each Reporting Person
2,727,920
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12
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Check Box if the Aggregate Amount in
Row (11) Excludes Certain Shares (See Instructions)
¨
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13
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Percent of Class Represented by Amount
in Row (11)
8.9
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14
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Type of Reporting Person (See
Instructions)
OO
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CUSIP No. 208242107
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1
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Name of
Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Stephens Inc.
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2
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Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
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3
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SEC Use Only
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4
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Source of Funds (See Instructions)
WC
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5
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Check Box if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
x
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6
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Citizenship or Place of
Organization
Arkansas
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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7
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Sole Voting Power
82,430
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8
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Shared Voting Power
203,486
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9
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Sole Dispositive Power
82,430
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10
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Shared Dispositive Power
203,486
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11
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Aggregate Amount Beneficially Owned by Each Reporting Person
285,916
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12
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Check Box if the Aggregate Amount in
Row (11) Excludes Certain Shares (See Instructions)
¨
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13
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Percent of Class Represented by Amount
in Row (11)
0.9
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14
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Type of Reporting Person (See
Instructions)
BD, CO
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CUSIP No. 208242107
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1
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Name of
Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Warren A. Stephens Grantor Trust
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2
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Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
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3
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SEC Use Only
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4
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Source of Funds (See Instructions)
WC, AF
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5
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Check Box if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
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6
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Citizenship or Place of
Organization
Arkansas
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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7
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Sole Voting Power
385,350
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8
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Shared Voting Power
0
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9
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Sole Dispositive Power
385,350
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10
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Shared Dispositive Power
0
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11
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Aggregate Amount Beneficially Owned by Each Reporting Person
385,350
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12
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Check Box if the Aggregate Amount in
Row (11) Excludes Certain Shares (See Instructions)
¨
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13
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Percent of Class Represented by Amount
in Row (11)
1.3
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14
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Type of Reporting Person (See
Instructions)
OO
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CUSIP No. 208242107
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1
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Name of
Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Harriet C. Stephens Trust
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2
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Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
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3
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SEC Use Only
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4
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Source of Funds (See Instructions)
WC
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5
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Check Box if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
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6
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Citizenship or Place of
Organization
Arkansas
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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7
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Sole Voting Power
183,283
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8
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Shared Voting Power
0
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9
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Sole Dispositive Power
183,283
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10
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Shared Dispositive Power
0
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11
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Aggregate Amount Beneficially Owned by Each Reporting Person
183,283
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12
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Check Box if the Aggregate Amount in
Row (11) Excludes Certain Shares (See Instructions)
¨
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13
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Percent of Class Represented by Amount
in Row (11)
0.6
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14
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Type of Reporting Person (See
Instructions)
OO
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CUSIP No. 208242107
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1
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Name of
Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Warren & Harriet Stephens Children’s Trust
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2
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Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
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3
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SEC Use Only
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4
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Source of Funds (See Instructions)
WC, AF
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5
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Check Box if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
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6
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Citizenship or Place of
Organization
Arkansas
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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7
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Sole Voting Power
931,038
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8
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Shared Voting Power
0
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9
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Sole Dispositive Power
931,038
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10
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Shared Dispositive Power
0
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11
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Aggregate Amount Beneficially Owned by Each Reporting Person
931,038
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12
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Check Box if the Aggregate Amount in
Row (11) Excludes Certain Shares (See Instructions)
¨
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13
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Percent of Class Represented by Amount
in Row (11)
3.0
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14
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Type of Reporting Person (See
Instructions)
OO
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CUSIP No. 208242107
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1
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Name of
Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Warren Miles Amerine Stephens 95 Trust
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2
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Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
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3
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SEC Use Only
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4
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Source of Funds (See Instructions)
WC, AF
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5
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Check Box if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
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6
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Citizenship or Place of
Organization
Arkansas
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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7
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Sole Voting Power
56,633
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8
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Shared Voting Power
0
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9
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Sole Dispositive Power
56,633
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10
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Shared Dispositive Power
0
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11
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Aggregate Amount Beneficially Owned by Each Reporting Person
56,633
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12
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Check Box if the Aggregate Amount in
Row (11) Excludes Certain Shares (See Instructions)
¨
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13
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Percent of Class Represented by Amount
in Row (11)
0.2
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14
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Type of Reporting Person (See
Instructions)
OO
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CUSIP No. 208242107
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1
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Name of
Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Warren Miles Amerine Stephens Trust
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2
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Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
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3
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SEC Use Only
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4
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Source of Funds (See Instructions)
WC
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5
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Check Box if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
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6
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Citizenship or Place of
Organization
Arkansas
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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7
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Sole Voting Power
6,352
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8
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Shared Voting Power
0
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9
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Sole Dispositive Power
6,352
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10
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Shared Dispositive Power
0
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11
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Aggregate Amount Beneficially Owned by Each Reporting Person
6,352
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12
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Check Box if the Aggregate Amount in
Row (11) Excludes Certain Shares (See Instructions)
¨
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13
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Percent of Class Represented by Amount
in Row (11)
0.0
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14
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Type of Reporting Person (See
Instructions)
OO
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CUSIP No. 208242107
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1
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Name of
Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
John Calhoun Stephens 95 Trust
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2
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Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
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3
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SEC Use Only
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4
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Source of Funds (See Instructions)
WC, AF
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5
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Check Box if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
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6
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Citizenship or Place of
Organization
Arkansas
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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7
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Sole Voting Power
56,633
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8
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Shared Voting Power
0
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9
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Sole Dispositive Power
56,633
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10
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Shared Dispositive Power
0
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11
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Aggregate Amount Beneficially Owned by Each Reporting Person
56,633
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12
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Check Box if the Aggregate Amount in
Row (11) Excludes Certain Shares (See Instructions)
¨
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13
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Percent of Class Represented by Amount
in Row (11)
0.2
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14
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Type of Reporting Person (See
Instructions)
OO
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CUSIP No. 208242107
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1
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Name of
Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
John Calhoun Stephens Trust
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2
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Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
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3
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SEC Use Only
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4
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Source of Funds (See Instructions)
WC
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5
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Check Box if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
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6
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Citizenship or Place of
Organization
Arkansas
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
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7
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Sole Voting Power
6,352
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8
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Shared Voting Power
0
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9
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Sole Dispositive Power
6,352
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10
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Shared Dispositive Power
0
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11
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Aggregate Amount Beneficially Owned by Each Reporting Person
6,352
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12
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Check Box if the Aggregate Amount in
Row (11) Excludes Certain Shares (See Instructions)
¨
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13
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Percent of Class Represented by Amount
in Row (11)
0.0
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14
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Type of Reporting Person (See
Instructions)
OO
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CUSIP No. 208242107
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1
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Name of
Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Laura Whitaker Stephens 95 Trust
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2
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Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
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3
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SEC Use Only
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4
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Source of Funds (See Instructions)
WC, AF
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5
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Check Box if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
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6
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Citizenship or Place of
Organization
Arkansas
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
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7
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Sole Voting Power
56,633
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8
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Shared Voting Power
0
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9
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Sole Dispositive Power
56,633
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10
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Shared Dispositive Power
0
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11
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Aggregate Amount Beneficially Owned by Each Reporting Person
56,633
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12
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Check Box if the Aggregate Amount in
Row (11) Excludes Certain Shares (See Instructions)
¨
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13
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Percent of Class Represented by Amount
in Row (11)
0.2
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14
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Type of Reporting Person (See
Instructions)
OO
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CUSIP No. 208242107
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1
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Name of
Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Laura Whitaker Stephens Trust
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2
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Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
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3
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SEC Use Only
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4
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Source of Funds (See Instructions)
WC
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5
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Check Box if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
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6
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Citizenship or Place of
Organization
Arkansas
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
7
|
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Sole Voting Power
6,352
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8
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Shared Voting Power
0
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|
9
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Sole Dispositive Power
6,352
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|
10
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Shared Dispositive Power
0
|
|
11
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Aggregate Amount Beneficially Owned by Each Reporting Person
6,352
|
|
12
|
|
Check Box if the Aggregate Amount in
Row (11) Excludes Certain Shares (See Instructions)
¨
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13
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Percent of Class Represented by Amount
in Row (11)
0.0
|
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14
|
|
Type of Reporting Person (See
Instructions)
OO
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CUSIP No. 208242107
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1
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Name of
Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Curtis F. Bradbury, Jr.
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2
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Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
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3
|
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SEC Use Only
|
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4
|
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Source of Funds (See Instructions)
OO
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5
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Check Box if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
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6
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Citizenship or Place of
Organization
Arkansas
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
7
|
|
Sole Voting Power
234,972
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|
8
|
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Shared Voting Power
0
|
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|
9
|
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Sole Dispositive Power
234,972
|
|
|
10
|
|
Shared Dispositive Power
0
|
|
11
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
234,972
|
|
12
|
|
Check Box if the Aggregate Amount in
Row (11) Excludes Certain Shares (See Instructions)
¨
|
|
13
|
|
Percent of Class Represented by Amount
in Row (11)
0.8
|
|
14
|
|
Type of Reporting Person (See
Instructions)
IN
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CUSIP No. 208242107
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1
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Name of
Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Douglas H. Martin
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2
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Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
|
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3
|
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SEC Use Only
|
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4
|
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Source of Funds (See Instructions)
PF
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5
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Check Box if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
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6
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Citizenship or Place of
Organization
Arkansas
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
7
|
|
Sole Voting Power
167,240
|
|
|
8
|
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Shared Voting Power
6,300
|
|
|
9
|
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Sole Dispositive Power
167,240
|
|
|
10
|
|
Shared Dispositive Power
6,300
|
|
11
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
173,540
|
|
12
|
|
Check Box if the Aggregate Amount in
Row (11) Excludes Certain Shares (See Instructions)
¨
|
|
13
|
|
Percent of Class Represented by Amount
in Row (11)
0.6
|
|
14
|
|
Type of Reporting Person (See
Instructions)
IN
|
CUSIP No. 208242107
|
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1
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Name of
Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
WAS Conn’s Annuity Trust One
|
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2
|
|
Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
|
|
3
|
|
SEC Use Only
|
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4
|
|
Source of Funds (See Instructions)
AF
|
|
5
|
|
Check Box if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
|
|
6
|
|
Citizenship or Place of
Organization
Arkansas
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
7
|
|
Sole Voting Power
206,116
|
|
|
8
|
|
Shared Voting Power
0
|
|
|
9
|
|
Sole Dispositive Power
206,116
|
|
|
10
|
|
Shared Dispositive Power
0
|
|
11
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
206,116
|
|
12
|
|
Check Box if the Aggregate Amount in
Row (11) Excludes Certain Shares (See Instructions)
¨
|
|
13
|
|
Percent of Class Represented by Amount
in Row (11)
0.7
|
|
14
|
|
Type of Reporting Person (See
Instructions)
OO
|
CUSIP No. 208242107
|
|
|
|
|
|
|
|
|
1
|
|
Name of
Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
WAS Family Trust One
|
|
2
|
|
Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
|
|
3
|
|
SEC Use Only
|
|
4
|
|
Source of Funds (See Instructions)
PF
|
|
5
|
|
Check Box if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
|
|
6
|
|
Citizenship or Place of
Organization
Arkansas
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
7
|
|
Sole Voting Power
430,000
|
|
|
8
|
|
Shared Voting Power
0
|
|
|
9
|
|
Sole Dispositive Power
430,000
|
|
|
10
|
|
Shared Dispositive Power
0
|
|
11
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
430,000
|
|
12
|
|
Check Box if the Aggregate Amount in
Row (11) Excludes Certain Shares (See Instructions)
¨
|
|
13
|
|
Percent of Class Represented by Amount
in Row (11)
1.4
|
|
14
|
|
Type of Reporting Person (See
Instructions)
OO
|
CUSIP No. 208242107
|
|
|
|
|
|
|
|
|
1
|
|
Name of
Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Paula W. and John P. Calhoun Family Trust UID 6-29-2016
|
|
2
|
|
Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
|
|
3
|
|
SEC Use Only
|
|
4
|
|
Source of Funds (See Instructions)
PF
|
|
5
|
|
Check Box if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
|
|
6
|
|
Citizenship or Place of
Organization
Arkansas
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
7
|
|
Sole Voting Power
500,000
|
|
|
8
|
|
Shared Voting Power
0
|
|
|
9
|
|
Sole Dispositive Power
500,000
|
|
|
10
|
|
Shared Dispositive Power
0
|
|
11
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
500,000
|
|
12
|
|
Check Box if the Aggregate Amount in
Row (11) Excludes Certain Shares (See Instructions)
¨
|
|
13
|
|
Percent of Class Represented by Amount
in Row (11)
1.6
|
|
14
|
|
Type of Reporting Person (See
Instructions)
OO
|
CUSIP No. 208242107
|
|
|
|
|
|
|
|
|
1
|
|
Name of
Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Warren A. Stephens
|
|
2
|
|
Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
|
|
3
|
|
SEC Use Only
|
|
4
|
|
Source of Funds (See Instructions)
PF
|
|
5
|
|
Check Box if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
|
|
6
|
|
Citizenship or Place of
Organization
Arkansas
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
7
|
|
Sole Voting Power
3,114,406
|
|
|
8
|
|
Shared Voting Power
3,042,791
|
|
|
9
|
|
Sole Dispositive Power
3,114,406
|
|
|
10
|
|
Shared Dispositive Power
3,042,791
|
|
11
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
6,157,197
|
|
12
|
|
Check Box if the Aggregate Amount in
Row (11) Excludes Certain Shares (See Instructions)
¨
|
|
13
|
|
Percent of Class Represented by Amount
in Row (11)
20.0
|
|
14
|
|
Type of Reporting Person (See
Instructions)
IN
|
CUSIP No. 208242107
|
|
|
|
|
|
|
|
|
1
|
|
Name of
Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Harriet C. Stephens
|
|
2
|
|
Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
|
|
3
|
|
SEC Use Only
|
|
4
|
|
Source of Funds (See Instructions)
PF
|
|
5
|
|
Check Box if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
|
|
6
|
|
Citizenship or Place of
Organization
Arkansas
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
7
|
|
Sole Voting Power
0
|
|
|
8
|
|
Shared Voting Power
2,839,305
|
|
|
9
|
|
Sole Dispositive Power
0
|
|
|
10
|
|
Shared Dispositive Power
2,839,305
|
|
11
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
2,839,305
|
|
12
|
|
Check Box if the Aggregate Amount in
Row (11) Excludes Certain Shares (See Instructions)
¨
|
|
13
|
|
Percent of Class Represented by Amount
in Row (11)
9.2
|
|
14
|
|
Type of Reporting Person (See
Instructions)
IN
|
CUSIP No. 208242107
|
|
|
|
|
|
|
|
|
1
|
|
Name of
Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
Harriet and Warren Stephens Family Foundation
|
|
2
|
|
Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
|
|
3
|
|
SEC Use Only
|
|
4
|
|
Source of Funds (See Instructions)
PF
|
|
5
|
|
Check Box if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
|
|
6
|
|
Citizenship or Place of
Organization
Arkansas
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
7
|
|
Sole Voting Power
11,000
|
|
|
8
|
|
Shared Voting Power
0
|
|
|
9
|
|
Sole Dispositive Power
11,000
|
|
|
10
|
|
Shared Dispositive Power
0
|
|
11
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
11,000
|
|
12
|
|
Check Box if the Aggregate Amount in
Row (11) Excludes Certain Shares (See Instructions)
¨
|
|
13
|
|
Percent of Class Represented by Amount
in Row (11)
0.0
|
|
14
|
|
Type of Reporting Person (See
Instructions)
OO
|
CUSIP No. 208242107
Introductory Statement
This Amendment No. 18 to Schedule 13D relates to the Common Stock, par value $.01 per share (the “Common Stock”), of Conn’s Inc., a
Delaware corporation (the “Issuer”). This Amendment No. 18 amends and supplements (i) the statement originally filed on December 18, 2003 with the Securities and Exchange Commission (the “Commission”) by the
reporting persons, (ii) Amendment No. 1 to the statement filed on June 2, 2004 with the Commission by the reporting persons, (iii) Amendment No. 2 to the statement filed on September 17, 2007 with the Commission by the
reporting persons, (iv) Amendment No. 3 to the statement filed on February 1, 2008 with the Commission by the reporting persons, (v) Amendment No. 4 to the statement filed on October 8, 2008 with the Commission by the
reporting persons, (vi) Amendment No. 5 to the statement filed on November 18, 2009 with the Commission by the reporting persons, (vii) Amendment No. 6 to the statement filed on October 22, 2010 with the Commission by
the reporting persons, (viii) Amendment No. 7 to the statement filed on November 9, 2010 with the Commission by the reporting persons, (ix) Amendment No. 8 to the statement filed on December 15, 2010 with the Commission
by the reporting persons, (x) Amendment No. 9 to the statement filed on January 13, 2012 with the Commission by the reporting persons, (xi) Amendment No. 10 to the statement filed on April 23, 2012 with the Commission
by the reporting persons, (xii) Amendment No. 11 to the statement filed on December 12, 2012 with the Commission by the reporting persons, (xiii) Amendment No. 12 to the statement filed on January 10, 2013 with the
Commission by the reporting persons, (xiv) Amendment No. 13 to the statement filed on December 10, 2013 with the Commission by the reporting persons, (xv) Amendment No. 14 to the statement filed on February 29, 2016
with the Commission by the reporting persons, (xvi) Amendment No. 15 to the statement filed on March 21, 2016 with the Commission by the reporting persons, (xvii) Amendment No. 16 to the statement filed on April 8, 2016
with the Commission by the reporting persons, and (xviii) Amendment No. 17 to the statement filed on July 20, 2016 with the Commission by the reporting persons (collectively, the “Prior Filings” and collectively with this
Amendment No. 18, this “Statement”). Unless otherwise defined herein, capitalized terms used herein shall have the meanings ascribed thereto in the Prior Filings. Except as set forth below, there are no changes to the Prior Filings.
This Amendment No. 18 is filed to report the purchase of 11,000 shares of the Common Stock by Harriet and Warren Stephens Family
Foundation.
|
ITEM 2.
|
IDENTITY AND BACKGROUND.
|
Item 2 of the Statement is supplemented by adding the
following reporting person:
Harriet and Warren Stephens Family Foundation is an Arkansas trust and 501(c)(3) not for profit organization
formed under the laws of the State of Arkansas. Its trustees are Warren A. Stephens and Harriet C. Stephens. Its principal address is 111 Center St., Little Rock, AR 72201. Warren A. Stephens is President and CEO of Stephens Inc. and Manager of
Stephens Investments Holdings LLC, each with a business address of 111 Center St., Little Rock, AR 72201. Harriet C. Stephens has a business address of 111 Center St., Little Rock, AR 72201.
During the last five years, neither the entity nor the individuals listed above have been convicted in a criminal proceeding (excluding
traffic violations or similar misdemeanors), or been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining
future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.
CUSIP No. 208242107
|
ITEM 3.
|
SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
|
Item 3 of the Statement is
supplemented by adding the following:
Harriet and Warren Stephens Family Foundation used personal funds to purchase 11,000 shares of the
Common Stock in the open market on September 16, 2016 at an average price of $9.9228 per share.
|
ITEM 4.
|
PURPOSE OF TRANSACTION.
|
Item 4 of the Statement is supplemented by adding the
following: The purchases described in Item 3 of this Amendment No. 18 were made for investment purposes. Harriet and Warren Stephens Family Foundation does not have any plans or proposals which relate to or would result in any of the
actions set forth in subsections (a) through (j) of Item 4.
|
ITEM 5.
|
INTEREST IN SECURITIES OF THE ISSUER
|
Items 5(a) and 5(b) of the Statement are amended
and restated to read in their entirety as follows:
(a, b) The following table discloses the beneficial ownership of the Common Stock by
the reporting persons and their respective directors and control persons. Because of interrelationships among the various reporting persons, certain shares of the Common Stock may be reported as being beneficially owned by more than one person. The
aggregate number of shares owned by such persons is 6,565,709, representing approximately 21.3% of the outstanding Common Stock.
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Name
|
|
Number of
Shares
Beneficially
Owned
|
|
|
Percent of
Outstanding
Shares(1)
|
|
Voting Power
|
|
|
Dispositive Power
|
|
|
|
|
|
|
|
|
|
Sole
|
|
|
Shared
|
|
|
Sole
|
|
|
Shared
|
|
|
Stephens Investments Holdings LLC
|
|
|
2,727,920
|
|
|
8.9
|
|
|
2,727,920
|
|
|
|
0
|
|
|
|
2,727,920
|
|
|
|
0
|
|
|
Stephens Inc.(2)
|
|
|
285,916
|
|
|
0.9
|
|
|
82,430
|
|
|
|
203,486
|
|
|
|
82,430
|
|
|
|
203,486
|
|
|
Warren A. Stephens Grantor Trust
|
|
|
385,350
|
|
|
1.3
|
|
|
385,350
|
|
|
|
0
|
|
|
|
385,350
|
|
|
|
0
|
|
|
Harriet C. Stephens Trust
|
|
|
183,283
|
|
|
0.6
|
|
|
183,283
|
|
|
|
0
|
|
|
|
183,283
|
|
|
|
0
|
|
|
Warren & Harriet Stephens Children’s Trust
|
|
|
931,038
|
|
|
3.0
|
|
|
931,038
|
|
|
|
0
|
|
|
|
931,038
|
|
|
|
0
|
|
|
Warren Miles Amerine Stephens 95 Trust
|
|
|
56,633
|
|
|
0.2
|
|
|
56,633
|
|
|
|
0
|
|
|
|
56,633
|
|
|
|
0
|
|
|
Warren Miles Amerine Stephens Trust
|
|
|
6,352
|
|
|
0.0
|
|
|
6,352
|
|
|
|
0
|
|
|
|
6,352
|
|
|
|
0
|
|
|
John Calhoun Stephens 95 Trust
|
|
|
56,633
|
|
|
0.2
|
|
|
56,633
|
|
|
|
0
|
|
|
|
56,633
|
|
|
|
0
|
|
|
John Calhoun Stephens Trust
|
|
|
6,352
|
|
|
0.0
|
|
|
6,352
|
|
|
|
0
|
|
|
|
6,352
|
|
|
|
0
|
|
|
Laura Whitaker Stephens 95 Trust
|
|
|
56,633
|
|
|
0.2
|
|
|
56,633
|
|
|
|
0
|
|
|
|
56,633
|
|
|
|
0
|
|
|
Laura Whitaker Stephens Trust
|
|
|
6,352
|
|
|
0.0
|
|
|
6,352
|
|
|
|
0
|
|
|
|
6,352
|
|
|
|
0
|
|
|
Curtis F. Bradbury, Jr.
|
|
|
234,972
|
|
|
0.8
|
|
|
234,972
|
|
|
|
0
|
|
|
|
234,972
|
|
|
|
0
|
|
|
Douglas H. Martin(3)
|
|
|
173,540
|
|
|
0.6
|
|
|
167,240
|
|
|
|
6,300
|
|
|
|
167,240
|
|
|
|
6,300
|
|
|
Warren A. Stephens(4)
|
|
|
6,157,197
|
|
|
20.0
|
|
|
3,114,406
|
|
|
|
3,042,791
|
|
|
|
3,114,406
|
|
|
|
3,042,791
|
|
|
Harriet C. Stephens(5)
|
|
|
2,839,305
|
|
|
9.2
|
|
|
0
|
|
|
|
2,839,305
|
|
|
|
0
|
|
|
|
2,839,305
|
|
|
WAS Conn’s Annuity Trust One
|
|
|
206,116
|
|
|
0.7
|
|
|
206,116
|
|
|
|
0
|
|
|
|
206,116
|
|
|
|
0
|
|
CUSIP No. 208242107
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Name
|
|
Number of
Shares
Beneficially
Owned
|
|
|
Percent of
Outstanding
Shares(1)
|
|
Voting Power
|
|
|
Dispositive Power
|
|
|
|
|
|
|
|
|
|
Sole
|
|
|
Shared
|
|
|
Sole
|
|
|
Shared
|
|
|
WAS Family Trust One
|
|
|
430,000
|
|
|
1.4
|
|
|
430,000
|
|
|
|
0
|
|
|
|
430,000
|
|
|
|
0
|
|
|
Paula W. and John P. Calhoun Family Trust
|
|
|
500,000
|
|
|
1.6
|
|
|
500,000
|
|
|
|
0
|
|
|
|
500,000
|
|
|
|
0
|
|
|
Harriet and Warren Stephens Family Foundation
|
|
|
11,000
|
|
|
0.0
|
|
|
11,000
|
|
|
|
0
|
|
|
|
11,000
|
|
|
|
0
|
|
|
(1)
|
Based on 30,778,299 shares of the Common Stock reported by the Issuer as outstanding as of September 1, 2016, as set forth in the Form 10Q filed by the Issuer on September 8, 2016.
|
|
(2)
|
Includes 82,430 shares owned directly, as to which Stephens Inc. has sole voting power and sole dispositive power, and 203,486 shares held in discretionary trading accounts on behalf of Stephens Inc. clients as to which
the firm may be deemed to have shared voting power and shared dispositive power.
|
|
(3)
|
Includes 50,000 shares owned by Martin Family 2016 Trust UID 6-14-2016, and 43,730 shares owned by Douglas H. Martin Trust UID 4-18-2014, as to which Mr. Martin, as sole Trustee of the trusts, has sole voting power
and sole dispositive power. Also includes 1,633 shares owned directly as to which Mr. Martin has sole voting power and sole dispositive power. Also includes 800 shares owned by Douglas Martin Custodian for Haven Celeste Martin as to which
Mr. Martin has sole voting power and sole dispositive power, and 1,600 shares owned by Mr. Martin’s children as to which Mr. Martin has shared voting and dispositive power pursuant to powers of attorney. Also includes 26,827
shares owned through Roth IRA accounts as to which Mr. Martin has sole voting and dispositive power, and includes 4,250 shares owned through IRA accounts as to which Mr. Martin has sole voting and dispositive power. Also includes 3,100
shares owned by Mr. Martin’s spouse as custodian for a minor child, as to which Mr. Martin may be deemed to have shared voting and dispositive power. Also includes 1,600 shares owned by a charitable foundation of which Mr. Martin
is a co-trustee, as to which Mr. Martin has shared voting and dispositive power. Also includes 40,000 shares which Mr. Martin has the right to receive upon the exercise of options, and as to which Mr. Martin would have sole voting
power and sole dispositive power.
|
|
(4)
|
Includes 2,727,920 shares owned by Stephens Investments Holdings LLC as to which Mr. Stephens, as Manager of
the LLC, may be deemed to have sole voting power and sole dispositive power. Also includes 82,430 shares owned by Stephens Inc. as to which Mr. Stephens, as President of Stephens Inc., may be deemed to have sole voting power and sole
dispositive power, and 203,486 shares held in discretionary trading accounts on behalf of clients of Stephens Inc. as to which Mr. Stephens, as President of Stephens Inc., may be deemed to have shared voting power and shared dispositive
power. Also includes 6,352 shares owned by each of Warren Miles Amerine Stephens Trust, John Calhoun Stephens Trust, and Laura Whitaker Stephens Trust, as to which Mr. Stephens, as sole Trustee of the trusts, has sole voting power and sole
dispositive power. Also includes 183,283 shares owned by Harriet C. Stephens Trust, 385,350 shares owned by Warren A. Stephens Grantor Trust, 206,116 shares owned by WAS Conn’s Annuity Trust One, and 56,633 shares owned by each of Warren
M. A. Stephens 95 Trust, John Calhoun Stephens 95 Trust, and Laura Whitaker Stephens 95 Trust, as to which Harriet C. Stephens is Trustee and as to which Mr. Stephens may be deemed to have shared voting and dispositive power with
Ms. Stephens. Also includes 931,038 shares owned by Warren & Harriet
|
CUSIP No. 208242107
|
|
Stephens Childrens Trust, Harriet C. Stephens, Co-Trustee, as to which Mr. Stephens may be deemed to have shared voting and dispositive power with Ms. Stephens. Also includes 430,000
shares owned by WAS Family Trust One, Harriet C. Stephens, Trustee, as to which Mr. Stephens may be deemed to have shared voting and dispositive power with Ms. Stephens. Also includes 500,000 shares owned by Paula W. and John P. Calhoun
Family Trust UID 6-29-2016, as to which Mr. Stephens, as Trustee, may be deemed to have shared voting power and shared dispositive power with Ms. Stephens. Also includes 11,000 shares owned by Harriet and Warren Stephens Family Foundation
as to which Mr. Stephens, as co-trustee, may be deemed to have shared voting power and shared dispositive power with Ms. Stephens. Also includes 22,619 shares owned by Warren Miles Amerine Stephens 2012 Trust, Harriet C. Stephens, Trustee,
as to which Mr. Stephens may be deemed to have shared voting and dispositive power with Ms. Stephens.
|
|
(5)
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Includes 183,283 shares owned by Harriet C. Stephens Trust, 385,350 shares owned by Warren A. Stephens Grantor Trust, 206,116 shares owned by WAS Conn’s Annuity Trust One, and 56,633 shares owned by each of Warren
M. A. Stephens 95 Trust, John Calhoun Stephens 95 Trust, and Laura Whitaker Stephens 95 Trust, as to which Harriet C. Stephens is Trustee and as to which Ms. Stephens may be deemed to have shared voting and dispositive power with
Mr. Stephens. Also includes 931,038 shares owned by Warren & Harriet Stephens Childrens Trust, Harriet C. Stephens, Co-Trustee, as to which Ms. Stephens may be deemed to have shared voting and dispositive power. Also includes
430,000 shares owned by WAS Family Trust One, Harriet C. Stephens, Trustee, as to which Ms. Stephens may be deemed to have shared voting and dispositive power with Mr. Stephens. Also includes 500,000 shares owned by Paula W. and John P.
Calhoun Family Trust UID 6-29-2016, Warren Stephens, Trustee, as to which Ms. Stephens may be deemed to have shared voting power and shared dispositive power with Mr. Stephens. Also includes 11,000 shares owned by Harriet and Warren
Stephens Family Foundation as to which Ms. Stephens, as co-trustee, may be deemed to have shared voting power and shared dispositive power with Mr. Stephens. Also includes 22,619 shares owned by Warren Miles Amerine Stephens 2012 Trust as
to which Ms. Stephens, as Trustee, may be deemed to have shared voting and dispositive power with Mr. Stephens.
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Item 5(c) of the Statement is supplemented by adding the following: The following transactions in the Common Stock have occurred during
the past sixty days:
Harriet and Warren Stephens Family Foundation purchased 11,000 shares of the Common Stock in the open market on
September 16, 2016 at an average price of $9.9228 per share.
Warren Miles Amerine Stephens 2012 Trust, Harriet C. Stephens, Trustee,
an Arkansas trust for the benefit of Mr. and Ms. Stephens’ son, purchased 22,619 shares of the Common Stock in the open market on September 9, 2016 at an average price of $8.8421 per share.
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ITEM 7.
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MATERIAL TO BE FILED AS EXHIBITS.
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Exhibit 1
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Agreement to File Joint Schedule 13D
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Exhibit 2
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Power of Attorney signed by Warren A. Stephens, as Trustee of the Harriet and Warren Stephens Family Foundation
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CUSIP No. 208242107
SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true,
complete and correct.
September 26, 2016
Date
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/s/ David A. Knight
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David A. Knight, as attorney in fact for Stephens Investments Holdings LLC, Stephens Inc., Warren A. Stephens Grantor Trust, Harriet C. Stephens Trust, Warren & Harriet Stephens Children’s Trust, Warren Miles Amerine
Stephens 95 Trust, Warren Miles Amerine Stephens Trust, John Calhoun Stephens 95 Trust, John Calhoun Stephens Trust, Laura Whitaker Stephens 95 Trust, Laura Whitaker Stephens Trust, Curtis F. Bradbury, Jr., Douglas H. Martin, WAS Conn’s Annuity
Trust One, WAS Family Trust One, Paula W. and John P. Calhoun Family Trust, Warren A. Stephens, Harriet C. Stephens, and Harriet and Warren Stephens Family Foundation
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