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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| 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. | SEC 1474 (9-02) | ||
| 1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Option | $ 3.08 | (9) | 12/31/2014 | Common Stock | 2,851 | 2,851 | D | ||||||||
| Stock Option | $ 3.5 | (10) | 12/31/2015 | Common Stock | 1,425 | 1,425 | D | ||||||||
| Stock Option | $ 3.92 | (11) | 12/31/2016 | Common Stock | 2,138 | 2,138 | D | ||||||||
| Stock Option | $ 4.21 | (12) | 12/31/2017 | Common Stock | 2,852 | 2,852 | D | ||||||||
| Stock Option | $ 4.78 | (13) | (13) | Common Stock | 17,276 | 17,276 | D | ||||||||
| Stock Option | $ 4.92 | (14) | 12/31/2018 | Common Stock | 3,564 | 3,564 | D | ||||||||
| Stock Option | $ 5.33 | (15) | 12/31/2019 | Common Stock | 3,564 | 3,564 | D | ||||||||
| Stock Option | $ 5.33 | 07/27/2005 | 07/27/2015 | Common Stock | 178,200 | 178,200 | D | ||||||||
| Performance Stock Option | $ 5.54 | 01/01/2010 | 03/13/2016 | Common Stock | 88,957 | 88,957 | D | ||||||||
| Stock Option | $ 8.54 | (16) | 01/17/2018 | Common Stock | 35,640 | 35,640 | D | ||||||||
| Stock Option | $ 8.6 | (17) | 01/09/2018 | Common Stock | 4,752 | 4,752 | D | ||||||||
| Stock Option | $ 10.16 | (18) | 01/18/2017 | Common Stock | 47,520 | 47,520 | D | ||||||||
| Stock Option | $ 17.25 | 01/18/2014 | 01/17/2023 | Common Stock | 50,000 | 50,000 | D | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| ALLISON JOHN W P.O. BOX 966 CONWAY, AR 72033 |
X | Chairman | ||
| /s/John W. Allison by Rachel Wesson | 03/21/2014 | |
| **Signature of Reporting Person | Date |
| * | 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). |
| (1) | The share data is reflective of the Company declaring a 2-for-1 stock split to shareholders of record as of May 22, 2013 and made payable June 12, 2013. |
| (2) | The stock price per share is reflective of the Company declaring a 2-for-1 stock split to shareholders of record as of May 22, 2013 and made payable June 12, 2013. |
| (3) | Includes a net decline of 208.937 shares through the Home BancShares, Inc. 401(k) Plan since the reporting person's last filing. This decline is due to a mandatory refund from the Home BancShares, Inc. 401(k) Plan. |
| (4) | The reporting person no longer has a beneficial ownership interest in 383,931.6264 shares of Home BancShares common stock owned by his son and included in the reporting person's prior ownership reports. |
| (5) | The reporting person had 2,428 shares vest since the last filing. |
| (6) | Restricted Stock granted on February 2, 2011 will vest in 33 1/3% installments over three years each February 2nd. |
| (7) | Restricted Stock granted on January 18, 2013 will vest in 33 1/3% installments over three years each January 18th. |
| (8) | Restricted Stock granted on January 17, 2014 will "cliff" vest 100% three years from award date. |
| (9) | The option is exercisable in five equal annual installments and became exercisable on December 31, 2004. |
| (10) | The option is exercisable in five equal annual installments and became exercisable on December 31, 2005. |
| (11) | The option is exercisable in five equal annual installments and became exercisable on December 31, 2006. |
| (12) | The option is exercisable in five equal annual installments and became exercisable on December 31, 2007. |
| (13) | 3,456 options have an expiration date of December 31, 2014. The remaining 13,820 options vested on January 1, 2005 with an expiration date of January 1, 2015. |
| (14) | The option is exercisable in five equal annual installments and became exercisable on December 31, 2004. |
| (15) | The option is exercisable in five equal annual installments and became exercisable on December 31, 2005. |
| (16) | The option became exercisable in five equal annual installments beginning on January 18, 2009. |
| (17) | The option became exercisable in five equal annual installments beginning on January 10, 2009. |
| (18) | The option became exercisable in two equal annual installments beginning on January 19, 2008. |