Statement of Changes in Beneficial Ownership (4)
January 29 2020 - 12:41PM
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
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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
*
ALLISON JOHN W |
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 __X__ Officer (give title below) _____ Other (specify below) Chairman & CEO |
(Last)
(First)
(Middle)
P.O. BOX 966 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/27/2020 |
(Street)
CONWAY, AR 72033
(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 | 11/25/2019 | | G | | 10850 | D | $0.00 | 5397454 (1) | D | |
Common Stock | 12/13/2019 | | G | | 5500 | D | $0.00 | 5772 | I | By IRA |
Common Stock - Restricted Stock | 1/27/2020 | | A | | 150000 (2) | A | $0.00 | 312500 (1)(3)(4) | D | |
Common Stock - Performance Based | | | | | | | | 112500 (5) | D | |
Common Stock | | | | | | | | 14489.2175 (6) | I | By 401(k) |
Common Stock | | | | | | | | 855360 | I | By Wife |
Common Stock | | | | | | | | 67328 | I | By Capital Buyers |
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) | 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 |
Stock Option | $8.62 | | | | | | | 1/18/2014 | 1/17/2023 | Common Stock | 100000 | | 100000 | D | |
Explanation of Responses: |
(1) | The reporting person had 112,500 shares vest since the last filing. |
(2) | Restricted Stock granted on January 27, 2020 will vest in 33 1/3% installments over three years beginning on the first anniversary of the award date. |
(3) | 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. |
(4) | 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. |
(5) | The Performance Stock awarded on February 22, 2017 will cliff vest 100% beginning on the third anniversary of the date that the performance goal is met. The performance goal will be met as of the end of the fiscal quarter when either the Company's total assets equal or exceed $12.5 billion or the Company has averaged $0.315 diluted earnings per share for four consecutive quarters or $1.26 total diluted earnings per share over a period of four consecutive quarters within three years of the award date. The performance goal was met as of September 30, 2017 and will vest on February 22, 2020. |
(6) | Includes 98.2119 shares acquired through the Home BancShares, Inc. 401(k) Plan since the last filing. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
ALLISON JOHN W P.O. BOX 966 CONWAY, AR 72033 | X |
| Chairman & CEO |
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Signatures
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/s/ John W. Allison by Micah Osborne | | 1/29/2020 |
**Signature of Reporting Person | Date |
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