SECURITIES AND EXCHANGE
COMMISSION
Washington, D.C. 20549
SCHEDULE 13D/A
Under the Securities Exchange Act of 1934
(Amendment No. 9)
Conns 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)
December 2, 2011
(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
¨
.
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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The remainder of this cover page shall be filled out for a reporting persons 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).
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)
Conns
Voting Trust, Steven Patterson, Trustee
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2
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Check the Appropriate Box if a
Member of a Group (See Instructions)
(a)
x
(b)
¨
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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)
Not applicable
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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
7,648,588
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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
0
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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
7,648,588
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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)
23.9
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14
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Type of Reporting Person (See
Instructions)
OO
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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
0
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8
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Shared Voting Power
5,438
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9
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Sole Dispositive Power
217,560
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10
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Shared Dispositive Power
5,438
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11
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Aggregate Amount Beneficially
Owned by Each Reporting Person
222,998
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12
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Check Box if the Aggregate Amount
in Row (11) Excludes Certain Shares (See Instructions)
x
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13
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Percent of Class Represented by
Amount in Row (11)
0.7
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14
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Type of Reporting Person (See
Instructions)
BD, CO
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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 Trust
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2
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Check the Appropriate Box if a
Member of a Group (See Instructions)
(a)
¨
(b)
¨
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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
599
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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
2,744,112
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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
2,744,112
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12
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Check Box if the Aggregate Amount
in Row (11) Excludes Certain Shares (See Instructions)
x
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13
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Percent of Class Represented by
Amount in Row (11)
8.6
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14
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Type of Reporting Person (See
Instructions)
OO
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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)
¨
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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
0
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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
245,701
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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
245,701
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12
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Check Box if the Aggregate Amount
in Row (11) Excludes Certain Shares (See Instructions)
x
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13
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Percent of Class Represented by
Amount in Row (11)
0.8
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14
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Type of Reporting Person (See
Instructions)
OO
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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)
¨
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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
0
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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
1,077,745
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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
1,077,745
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12
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Check Box if the Aggregate Amount
in Row (11) Excludes Certain Shares (See Instructions)
x
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13
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Percent of Class Represented by
Amount in Row (11)
3.4
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14
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Type of Reporting Person (See
Instructions)
OO
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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 Childrens Trust
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2
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Check the Appropriate Box if a
Member of a Group (See Instructions)
(a)
¨
(b)
¨
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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
0
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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
1,338,794
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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
1,338,794
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12
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Check Box if the Aggregate Amount
in Row (11) Excludes Certain Shares (See Instructions)
x
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13
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Percent of Class Represented by
Amount in Row (11)
4.2
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14
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Type of Reporting Person (See
Instructions)
OO
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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)
¨
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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
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED
BY EACH
REPORTING
PERSON
WITH
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7
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Sole Voting Power
0
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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
74,779
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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
74,779
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12
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Check Box if the Aggregate Amount
in Row (11) Excludes Certain Shares (See Instructions)
x
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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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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)
¨
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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
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED
BY EACH
REPORTING
PERSON
WITH
|
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7
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Sole Voting Power
0
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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)
x
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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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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)
¨
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3
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SEC Use Only
|
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
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED
BY EACH
REPORTING
PERSON
WITH
|
|
7
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Sole Voting Power
0
|
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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
74,779
|
|
10
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Shared Dispositive Power
0
|
11
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Aggregate Amount Beneficially
Owned by Each Reporting Person
74,779
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12
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Check Box if the Aggregate Amount
in Row (11) Excludes Certain Shares (See Instructions)
x
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13
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Percent of Class Represented by
Amount in Row (11)
0.2
|
14
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Type of Reporting Person (See
Instructions)
OO
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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)
¨
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3
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SEC Use Only
|
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
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON
WITH
|
|
7
|
|
Sole Voting Power
0
|
|
8
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Shared Voting Power
0
|
|
9
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Sole Dispositive Power
6,352
|
|
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
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|
Check Box if the Aggregate Amount
in Row (11) Excludes Certain Shares (See Instructions)
x
|
13
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Percent of Class Represented by
Amount in Row (11)
0.0
|
14
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Type of Reporting Person (See
Instructions)
OO
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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)
¨
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3
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SEC Use Only
|
4
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Source of Funds (See
Instructions)
WC, AF
|
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
|
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Sole Voting Power
0
|
|
8
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Shared Voting Power
0
|
|
9
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Sole Dispositive Power
74,779
|
|
10
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Shared Dispositive Power
0
|
11
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|
Aggregate Amount Beneficially
Owned by Each Reporting Person
74,779
|
12
|
|
Check Box if the Aggregate Amount
in Row (11) Excludes Certain Shares (See Instructions)
x
|
13
|
|
Percent of Class Represented by
Amount in Row (11)
0.2
|
14
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Type of Reporting Person (See
Instructions)
OO
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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)
¨
|
3
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SEC Use Only
|
4
|
|
Source of Funds (See
Instructions)
WC
|
5
|
|
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
0
|
|
8
|
|
Shared Voting Power
0
|
|
9
|
|
Sole Dispositive Power
6,352
|
|
10
|
|
Shared Dispositive Power
0
|
11
|
|
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)
x
|
13
|
|
Percent of Class Represented by
Amount in Row (11)
0.0
|
14
|
|
Type of Reporting Person (See
Instructions)
OO
|
|
|
|
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1
|
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Name of Reporting Persons
I.R.S. Identification
No. of Above Persons (entities only)
Grandchilds Trust #2
|
2
|
|
Check the Appropriate Box if a
Member of a Group (See Instructions)
(a)
¨
(b)
¨
|
3
|
|
SEC Use Only
|
4
|
|
Source of Funds (See
Instructions)
WC
|
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
0
|
|
9
|
|
Sole Dispositive Power
824,020
|
|
10
|
|
Shared Dispositive Power
0
|
11
|
|
Aggregate Amount Beneficially
Owned by Each Reporting Person
824,020
|
12
|
|
Check Box if the Aggregate Amount
in Row (11) Excludes Certain Shares (See Instructions)
x
|
13
|
|
Percent of Class Represented by
Amount in Row (11)
2.6
|
14
|
|
Type of Reporting Person (See
Instructions)
OO
|
|
|
|
|
|
|
|
1
|
|
Name of Reporting Persons
I.R.S. Identification
No. of Above Persons (entities only)
Curtis F.
Bradbury, Jr.
|
2
|
|
Check the Appropriate Box if a
Member of a Group (See Instructions)
(a)
¨
(b)
¨
|
3
|
|
SEC Use Only
|
4
|
|
Source of Funds (See
Instructions)
OO
|
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
152,032
|
|
9
|
|
Sole Dispositive Power
520,779
|
|
10
|
|
Shared Dispositive Power
1,490,826
|
11
|
|
Aggregate Amount Beneficially
Owned by Each Reporting Person
2,011,605
|
12
|
|
Check Box if the Aggregate Amount
in Row (11) Excludes Certain Shares (See Instructions)
x
|
13
|
|
Percent of Class Represented by
Amount in Row (11)
6.3
|
14
|
|
Type of Reporting Person (See
Instructions)
IN
|
|
|
|
|
|
|
|
1
|
|
Name of Reporting Persons
I.R.S. Identification
No. of Above Persons (entities only)
Douglas H.
Martin
|
2
|
|
Check the Appropriate Box if a
Member of a Group (See Instructions)
(a)
¨
(b)
¨
|
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
94,602
|
|
8
|
|
Shared Voting Power
152,032
|
|
9
|
|
Sole Dispositive Power
270,921
|
|
10
|
|
Shared Dispositive Power
152,032
|
11
|
|
Aggregate Amount Beneficially
Owned by Each Reporting Person
422,953
|
12
|
|
Check Box if the Aggregate Amount
in Row (11) Excludes Certain Shares (See Instructions)
x
|
13
|
|
Percent of Class Represented by
Amount in Row (11)
1.3
|
14
|
|
Type of Reporting Person (See
Instructions)
IN
|
|
|
|
|
|
|
|
1
|
|
Name of Reporting Persons
I.R.S. Identification
No. of Above Persons (entities only)
Stephens
Investment Partners 2000 LLC
|
2
|
|
Check the Appropriate Box if a
Member of a Group (See Instructions)
(a)
¨
(b)
¨
|
3
|
|
SEC Use Only
|
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
152,032
|
|
8
|
|
Shared Voting Power
0
|
|
9
|
|
Sole Dispositive Power
152,032
|
|
10
|
|
Shared Dispositive Power
0
|
11
|
|
Aggregate Amount Beneficially
Owned by Each Reporting Person
152,032
|
12
|
|
Check Box if the Aggregate Amount
in Row (11) Excludes Certain Shares (See Instructions)
x
|
13
|
|
Percent of Class Represented by
Amount in Row (11)
0.5
|
14
|
|
Type of Reporting Person (See
Instructions)
OO
|
|
|
|
|
|
|
|
1
|
|
Name of Reporting Persons
I.R.S. Identification
No. of Above Persons (entities only)
Stephens
Investments Holdings LLC
|
2
|
|
Check the Appropriate Box if a
Member of a Group (See Instructions)
(a)
¨
(b)
¨
|
3
|
|
SEC Use Only
|
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
465
|
|
8
|
|
Shared Voting Power
0
|
|
9
|
|
Sole Dispositive Power
275,350
|
|
10
|
|
Shared Dispositive Power
0
|
11
|
|
Aggregate Amount Beneficially
Owned by Each Reporting Person
275,350
|
12
|
|
Check Box if the Aggregate Amount
in Row (11) Excludes Certain Shares (See Instructions)
x
|
13
|
|
Percent of Class Represented by
Amount in Row (11)
0.9
|
14
|
|
Type of Reporting Person (See
Instructions)
OO
|
|
|
|
|
|
|
|
1
|
|
Name of Reporting Persons
I.R.S. Identification
No. of Above Persons (entities only)
WAS
Conns Annuity Trust One
|
2
|
|
Check the Appropriate Box if a
Member of a Group (See Instructions)
(a)
¨
(b)
¨
|
3
|
|
SEC Use Only
|
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
0
|
|
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)
x
|
13
|
|
Percent of Class Represented by
Amount in Row (11)
0.6
|
14
|
|
Type of Reporting Person (See
Instructions)
OO
|
Introductory Statement
This Amendment No. 9 to Schedule 13D relates to the Common Stock, par value $.01 per share (the Common Stock), of Conns Inc., a Delaware corporation (the Issuer). This
Amendment No. 9 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, and (ix) Amendment No. 8 to the statement filed on December 15, 2010 (collectively, the Prior Filings and collectively with this Amendment No. 9, 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 with respect to the reporting
persons.
This Amendment No. 9 is being filed to reflect the transfer of shares of the Common Stock from WAS Conns Annuity Trust
One to Warren A. Stephens Trust, with all of the transferred shares remaining within the Conns Voting Trust.
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.
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Name
|
|
Number of
Shares
Beneficially
Owned
|
|
|
Percent of
Outstanding
Shares(1)
|
|
|
Voting Power
|
|
|
Dispositive Power
|
|
|
|
|
|
|
|
|
|
Sole
|
|
|
Shared
|
|
|
Sole
|
|
|
Shared
|
|
Conns Voting Trust(2)
|
|
|
7,648,588
|
|
|
|
23.9
|
|
|
|
7,648,588
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
Stephens Inc.(3)
|
|
|
222,998
|
|
|
|
0.7
|
|
|
|
0
|
|
|
|
5,438
|
|
|
|
217,560
|
|
|
|
5,438
|
|
Warren A. Stephens Trust
|
|
|
2,744,112
|
|
|
|
8.6
|
|
|
|
599
|
|
|
|
0
|
|
|
|
2,744,112
|
|
|
|
0
|
|
Warren A. Stephens Grantor Trust
|
|
|
245,701
|
|
|
|
0.8
|
|
|
|
0
|
|
|
|
0
|
|
|
|
245,701
|
|
|
|
0
|
|
Harriet C. Stephens Trust
|
|
|
1,077,745
|
|
|
|
3.4
|
|
|
|
0
|
|
|
|
0
|
|
|
|
1,077,745
|
|
|
|
0
|
|
Warren & Harriet Stephens Childrens Trust
|
|
|
1,338,794
|
|
|
|
4.2
|
|
|
|
0
|
|
|
|
0
|
|
|
|
1,338,794
|
|
|
|
0
|
|
Warren Miles Amerine Stephens 95 Trust
|
|
|
74,779
|
|
|
|
0.2
|
|
|
|
0
|
|
|
|
0
|
|
|
|
74,779
|
|
|
|
0
|
|
Warren Miles Amerine Stephens Trust
|
|
|
6,352
|
|
|
|
0.0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
6,352
|
|
|
|
0
|
|
John Calhoun Stephens 95 Trust
|
|
|
74,779
|
|
|
|
0.2
|
|
|
|
0
|
|
|
|
0
|
|
|
|
74,779
|
|
|
|
0
|
|
John Calhoun Stephens Trust
|
|
|
6,352
|
|
|
|
0.0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
6,352
|
|
|
|
0
|
|
Laura Whitaker Stephens 95 Trust
|
|
|
74,779
|
|
|
|
0.2
|
|
|
|
0
|
|
|
|
0
|
|
|
|
74,779
|
|
|
|
0
|
|
Laura Whitaker Stephens Trust
|
|
|
6,352
|
|
|
|
0.0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
6,352
|
|
|
|
0
|
|
Grandchilds Trust #2
|
|
|
824,020
|
|
|
|
2.6
|
|
|
|
0
|
|
|
|
0
|
|
|
|
824,020
|
|
|
|
0
|
|
Curtis F. Bradbury, Jr.(4)
|
|
|
2,011,605
|
|
|
|
6.3
|
|
|
|
0
|
|
|
|
152,032
|
|
|
|
520,779
|
|
|
|
1,490,826
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Name
|
|
Number of
Shares
Beneficially
Owned
|
|
|
Percent of
Outstanding
Shares(1)
|
|
|
Voting Power
|
|
|
Dispositive Power
|
|
|
|
|
|
|
|
|
|
Sole
|
|
|
Shared
|
|
|
Sole
|
|
|
Shared
|
|
Douglas H. Martin(5)
|
|
|
422,953
|
|
|
|
1.3
|
|
|
|
94,602
|
|
|
|
152,032
|
|
|
|
270,921
|
|
|
|
152,032
|
|
Stephens Investment Partners 2000 LLC
|
|
|
152,032
|
|
|
|
0.5
|
|
|
|
152,032
|
|
|
|
0
|
|
|
|
152,032
|
|
|
|
0
|
|
Warren A. Stephens(6)
|
|
|
3,619,664
|
|
|
|
11.3
|
|
|
|
1,064
|
|
|
|
157,470
|
|
|
|
3,256,078
|
|
|
|
363,586
|
|
Harriet C. Stephens(7)
|
|
|
1,529,562
|
|
|
|
4.8
|
|
|
|
0
|
|
|
|
0
|
|
|
|
1,323,446
|
|
|
|
206,116
|
|
Stephens Investments Holdings LLC
|
|
|
275,350
|
|
|
|
0.9
|
|
|
|
465
|
|
|
|
0
|
|
|
|
275,350
|
|
|
|
0
|
|
WAS Conns Annuity Trust One
|
|
|
206,116
|
|
|
|
0.6
|
|
|
|
0
|
|
|
|
0
|
|
|
|
206,116
|
|
|
|
0
|
|
Steve Patterson, Voting Trustee
|
|
|
7,648,588
|
|
|
|
23.9
|
|
|
|
7,648,588
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
(1) Based on 31,972,901 shares of the Common Stock reported by the Issuer as outstanding on
December 5, 2011, as set forth in the Form 10-Q filed by the Issuer on December 13, 2011.
(2) Pursuant to the terms
of the Voting Trust Agreement, the trustee of the Voting Trust must vote the shares of Common Stock held by the voting trust for or against any proposal or other matter submitted to the stockholders of the Issuer for approval
in the same proportion as the votes cast for and against such proposal or other matter by all other stockholders, not counting abstentions. Number of shares includes 217,560 shares contributed by Stephens Inc., 2,743,513
contributed by Warren A. Stephens Trust, 245,701 shares contributed by Warren A. Stephens Grantor Trust, 1,077,745 shares contributed by Harriet C. Stephens Trust, 1,338,794 shares contributed by Warren & Harriet Stephens Childrens
Trust, 74,779 shares contributed by each of Warren Miles Amerine Stephens 95 Trust, John Calhoun Stephens 95 Trust, and Laura Whitaker Stephens 95 Trust, also includes 6,352 shares contributed by each of Warren Miles Amerine Stephens Trust, John
Calhoun Stephens Trust, and Laura Whitaker Stephens Trust, also includes 824,020 shares contributed by Grandchilds Trust #2, 296,442 shares contributed by Curtis F. Bradbury, Jr., 173,219 shares contributed by Doug Martin, 274,885 shares
contributed by Stephens Investments Holdings LLC, 206,116 shares contributed by WAS Conns Annuity Trust One, 4,100 shares contributed by Melanie Masino Custodian for Kye Masino, 1,000 shares contributed by Doug Martin Custodian for Brett
Austin Martin, 1,000 shares contributed by Doug Martin Custodian for James Garth Martin, and 1,100 shares contributed by Doug Martin Custodian for Haven Celeste Martin.
(3) Includes 217,560 shares which have been contributed to the Voting Trust and as to which Stephens Inc. has no voting power and sole dispositive power, and 5,438 shares held in discretionary trading
accounts on behalf of Stephens Inc. clients as to which the firm has shared voting power and shared dispositive power.
(4)
Includes 296,442 shares which have been contributed to the Voting Trust and as to which Mr. Bradbury has no voting power and sole dispositive power. Also includes 152,032 shares owned by Stephens Investment Partners 2000 LLC as to which
Mr. Bradbury, as a co-manager of the LLC, has shared voting power and shared dispositive power. Also includes 74,779 shares which have been contributed to the Voting Trust by each of John Calhoun Stephens 95 Trust, Laura Whitaker Stephens 95
Trust and Warren Miles Amerine Stephens 95 Trust, as to which Mr. Bradbury, as sole trustee of the trusts, has no voting power and sole dispositive power. Also includes 1,338,794 shares beneficially owned by Warren and Harriet Stephens
Childrens Trust which have been contributed to the Voting Trust and as to which Mr. Bradbury has no voting power and sole dispositive power.
(5) Includes 14,602 shares owned by Douglas H. Martin IRA as to which Mr. Martin has sole voting power and sole dispositive power, and 173,219 shares which have been contributed to the Voting Trust
and as to which Mr. Martin has no voting power and sole dispositive power. Also includes 152,032 shares owned by Stephens Investment Partners 2000 LLC as to which Mr. Martin, as a co-manager of the LLC, has shared voting power and shared
dispositive power. Also includes 80,000 shares which Mr. Martin has the right to receive upon
the exercise of options exercisable on or within 60 days of the date of the filing of this Amendment No. 9 as to which Mr. Martin has sole voting power and sole dispositive power. Also
includes 1,000 shares held by Doug Martin Custodian for Brett Austin Martin, 1,000 shares held by Doug Martin Custodian for James Garth Martin, and 1,100 shares held by Doug Martin Custodian for Haven Celeste Martin which have been contributed to
the Voting Trust and as to which Mr. Martin has no voting power and sole dispositive power.
(6) Includes 217,560 shares
owned by Stephens Inc. which have been contributed to the Voting Trust and as to which Mr. Stephens, as President, has no voting power and sole dispositive power. Also includes 5,438 shares held in discretionary trading accounts on behalf of
Stephens Inc. clients as to which Stephens Inc. has shared voting power and shared dispositive power. Also includes 599 shares beneficially owned by Warren A. Stephens Trust and 6,352 shares owned by each of Warren Miles Amerine Stephens Trust, John
Calhoun Stephens Trust, and Laura Whitaker Stephens Trust, which have been contributed to the Voting Trust and as to which Mr. Stephens, as sole trustee of the trusts, has no voting power and sole dispositive power. Also includes 274,885 shares
owned by Stephens Investments Holdings LLC which have been contributed to the Voting Trust and as to which Mr. Stephens, as Manager, has no voting power and sole dispositive power. Also includes 2,743,513 shares beneficially owned by Warren A.
Stephens Trust One which have been contributed to the Voting Trust and as to which Mr. Stephens, as trustee, has no voting power and sole dispositive power. Also includes 465 shares owned directly by Stephens Investments Holdings LLC as to
which Mr. Stephens has sole voting power and sole dispositive power. Also includes 152,032 shares directly owned by Stephens Investment Partners 2000 LLC as to which Mr. Stephens, as a co-manager, has shared voting power and shared
dispositive power. Also includes 206,116 shares beneficially owned by WAS Conns Annuity Trust One, Harriet C. Stephens, trustee, which have been contributed to the Voting Trust. Total does not includes shares owned by Mr. Stephens wife,
Harriet C. Stephens (other than the 206,116 shares beneficially owned by WAS Conns Annuity Trust One).
(7) Includes
1,077,745 shares beneficially owned by Harriet C. Stephens Trust and 245,701 shares beneficially owned by Warren A. Stephens Grantor Trust which have been contributed to the Voting Trust and as to which Ms. Stephens, as sole trustee of both
trusts, has no voting power and sole dispositive power. Also includes 206,116 shares beneficially owned by WAS Conns Annuity Trust One, Harriet C. Stephens, trustee, which have been contributed to the Voting Trust. Such total does not include
shares owned by Warren A. Stephens.
Item 5(c) of the Statement is supplemented by adding the following: During the past
sixty days, the persons listed in Items 5(a) and (b) above effected the following transactions in the Common Stock: On December 2, 2011, WAS Conns Annuity Trust transferred 997,344 shares of the Common Stock to Warren A. Stephens
Trust One, with all of the transferred shares remaining within the Voting Trust. The shares of the Common Stock owned by both entities are reported herein as beneficially owned by Warren A. Stephens. On December 27, 2011, Douglas H. Martin
gifted 100 shares of the Common Stock previously deposited by him in the Voting Trust to each of four children of Mr. Martin, with 200 of such shares to remain in the Voting Trust and 200 of such shares to be distributed from the Voting Trust.
On such date Mr. Martin also gifted a total of 100 shares of the Common Stock to each of three other individuals, with all of such shares to be distributed from the Voting Trust.
ITEM 7.
|
MATERIAL TO BE FILED AS EXHIBITS.
|
|
|
|
Exhibit 1
|
|
Agreement to File Joint Schedule 13D
|
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.
|
/s/ David A. Knight
|
David A. Knight, as attorney in fact for Conns Voting Trust, Stephens Inc., Warren A. Stephens Trust, Warren A. Stephens Grantor Trust, Harriet C. Stephens Trust,
Warren & Harriet Stephens Childrens 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, Grandchilds Trust #2, Curtis F. Bradbury, Jr., Douglas H. Martin, Stephens Investment Partners 2000 LLC, Stephens Investments Holdings LLC, and WAS Conns Annuity Trust One
|
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