Statement of Changes in Beneficial Ownership (4)
August 15 2013 - 2:43PM
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).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
FORD SCOTT T
|
2. Issuer Name
and
Ticker or Trading Symbol
FIRST FEDERAL BANCSHARES OF ARKANSAS INC
[
FFBH
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Last)
(First)
(Middle)
FIRST FEDERAL BANCSHARES OF ARKANSAS INC, PO BOX 550
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/13/2013
|
(Street)
HARRISON, AR 72602
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
7/9/2013
|
|
G
|
V
|
80000
|
D
|
$0
|
0
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Warrant (right to buy)
|
$7.9
|
8/13/2013
|
|
A
(1)
|
|
35443
|
|
8/13/2013
|
8/13/2018
|
Common Stock
|
35443
|
$0
|
35443
|
D
|
|
Explanation of Responses:
|
(
1)
|
On August 13, 2013, the reporting person acquired from First Federal Bancshares of Arkansas, Inc. (the "Company") warrants to purchase 35,443 shares of the Company's common stock at an exercise price of $7.90. The warrants were issued to the reporting person in exchange for his commitment to backstop, in part, the Company's recently announced private placement of its common stock, the purpose of which is to fund a portion of the merger consideration for the recently announced merger between the Company and First National Security Company. The backstop commitment and related warrant issuance were approved by a special committee of the Company's Board of Directors comprised entirely of non-employee directors.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
FORD SCOTT T
FIRST FEDERAL BANCSHARES OF ARKANSAS INC
PO BOX 550
HARRISON, AR 72602
|
X
|
|
|
|
Signatures
|
/s/ Sherri Billings attorney-in-fact for Scott T. Ford
|
|
8/15/2013
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
Bear State Financial, Inc. (NASDAQ:BSF)
Historical Stock Chart
From Jun 2024 to Jul 2024
Bear State Financial, Inc. (NASDAQ:BSF)
Historical Stock Chart
From Jul 2023 to Jul 2024