Statement of Changes in Beneficial Ownership (4)
October 16 2017 - 5:59PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
STEPHENS WARREN A
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2. Issuer Name
and
Ticker or Trading Symbol
CONNS INC
[
CONN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
111 CENTER STREET
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3. Date of Earliest Transaction
(MM/DD/YYYY)
10/12/2017
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(Street)
LITTLE ROCK, AR 72201
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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10/12/2017
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P
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30000
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A
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$25.3593
(1)
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2757920
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I
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By Stephens Investments Holdings LLC
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Common Stock
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10/13/2017
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P
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12000
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A
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$25.5018
(2)
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2769920
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I
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By Stephens Investments Holdings LLC
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Common Stock
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22619
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I
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By Warren Miles Amerine Stephens 2012 Trust
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Common Stock
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385350
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I
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By Warren A. Stephens Grantors Trust
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Common Stock
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285000
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I
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By Warren A. Stephens Roth IRA
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Common Stock
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430000
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I
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By WAS Family Trust One
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Common Stock
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279831
(3)
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I
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By Harriet C. Stephens Trust
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Common Stock
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403452
(4)
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I
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By Paula W. and John P. Calhoun Family Trust
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Common Stock
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931038
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I
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By Warren and Harriet Stephens Childrens Trust
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Common Stock
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82430
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I
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By Stephens Inc.
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Common Stock
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0
(5)
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I
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By WAS Conns Annuity Trust One
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Common Stock
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56633
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I
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By Warren Miles Amerine Stephens 1995 Trust
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Common Stock
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6352
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I
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By Warren Miles Amerine Stephens Trust
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Common Stock
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56633
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I
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By John Calhoun Stephens 1995 Trust
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Common Stock
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6352
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I
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By John Calhoun Stephens Trust
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Common Stock
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56633
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I
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By Laura Whitaker Stephens 1995 Trust
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Common Stock
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6352
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I
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By Laura Whitaker Stephens Trust
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Common Stock
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68706
(6)
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I
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By Warren Miles Amerine Stephens Revocable Trust
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Common Stock
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68705
(6)
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I
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By John C. Stephens Revocable Trust
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Common Stock
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68705
(6)
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I
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By Laura Whitaker Stephens Revocable Trust
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(1)
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Price is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $25.275 to $25.70, inclusive. Reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within such range.
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(2)
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Price is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $25.45 to $25.70, inclusive. Reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within such range.
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(3)
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Number of shares reported as indirectly owned by Harriet C. Stephens Trust reflects the receipt of 96,548 shares previously reported as indirectly owned by Paula W. & John P. Calhoun Family Trust UID 6/29/2016, a grantor retained annuity trust for the benefit of the children of Warren and Harriet Stephens.
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(4)
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Number of shares reported as indirectly owned by Paula W. & John Cahoun Family Trust UID 6/29/2016 reflects the transfer to Harriet C. Stephens Trust of 96,548 shares pursuant to an annuity obligation.
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(5)
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Number of shares reported as indirectly owned by WAS Conns Annuity Trust One reflects the gifts by WAS Conns Annuity Trust One of (i) 68,706 shares to Warren Miles Amerine Stephens Revocable Trust, (ii) 68,705 shares to John C. Stephens Revocable Trust, and (iii) 68,705 shares to Laura Whitaker Stephens Revocable Trust. All of such trusts are trusts established for the benefit of reporting person's children.
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(6)
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Represents shares previously reported as indirectly owned by WAS Conns Annuity Trust One.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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STEPHENS WARREN A
111 CENTER STREET
LITTLE ROCK, AR 72201
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X
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Signatures
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Todd Ferguson, attorney in fact for reporting person
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10/16/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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