Amended Statement of Changes in Beneficial Ownership (4/a)
February 08 2019 - 10:16AM
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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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
*
Ashley Richard H
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2. Issuer Name
and
Ticker or Trading Symbol
HOME BANCSHARES INC
[
HOMB
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
P.O. BOX 966
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3. Date of Earliest Transaction
(MM/DD/YYYY)
1/18/2019
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(Street)
CONWAY, AR 72033
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
1/23/2019
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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 - Restricted
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1/18/2019
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A
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2000
(1)
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A
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$0.00
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4500
(2)
(3)
(4)
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D
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Common Stock
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147853.9904
(2)
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D
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Common Stock
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819584
(5)
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I
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By Conservative Development
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Common Stock
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1684.9
(5)
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I
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By Square Associates LLC
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Common Stock
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1689236
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I
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By RH Ashley Investments LLC
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Common Stock
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25668
(6)
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I
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By wife
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Common Stock
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15782
(7)
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I
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By IRA
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Common Stock
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7917.089
(8)
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I
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By wife IRA
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Common Stock
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1088
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I
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Custodian for children
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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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Common Stock
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$17.12
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(9)
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4/15/2025
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Common Stock
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12000
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12000
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D
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Explanation of Responses:
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(1)
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Restricted Stock granted on January 18, 2019 will vest in 33 1/3% installments over three years beginning on the first anniversary of the award date.
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(2)
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The reporting person had 2500 shares vest since the last filing.
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(3)
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Restricted Stock granted on January 19, 2018 will vest in 33 1/3% installments over three years beginning on the first anniversary of the award date.
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(4)
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Restricted Stock granted on January 20, 2017 will "cliff" vest 100% three years from award date.
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(5)
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This amendment is being filed solely to reflect that the reporting person has elected to report his beneficial ownership of Home BancShares, Inc. stock held by Conservative Development Company and Square Associates LLC based upon the reporting person's pro rata economic interest in each entity. The reporting person's previous Section 16 filings reported the aggregate number of shares held by each such entity.
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(6)
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Reflects a correction to the number of shares beneficially owned, which were incorrectly reported in the reporting person's previously filed Forms 4.
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(7)
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Includes 322 shares acquired through the Home BancShares, Inc. Dividend Reinvestment Plan since the last filing.
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(8)
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Includes 163.420 shares acquired through the Home BancShares, Inc. Dividend Reinvestment Plan since the last filing.
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(9)
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The option is exercisable in five equal annual installments. The first installment became exercisable on April 16, 2016.
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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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Ashley Richard H
P.O. BOX 966
CONWAY, AR 72033
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X
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Signatures
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/s/ Richard H. Ashley by Micah Osborne
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2/8/2019
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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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