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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
STEPHENS WARREN A 111 CENTER STREET LITTLE ROCK, AR 72201 |
X |
Todd Ferguson, attorney in fact for reporting person | 07/30/2013 | |
**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) | Represents sale of 200,000 shares by Warren A. Stephens Trust. |
(2) | Represents sale of 50,000 shares by Harriet Calhoun Stephens Trust. |
(3) | Represents sale of 100,000 shares by Warren and Harriet Stephens Childrens Trust. |
(4) | The prices reported on this form represent a weighted average price. The shares were sold in multiple transactions at prices ranging from $61.14 to $60.00, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
(5) | Includes 1,877,623 shares beneficially owned by Warren A. Stephens Trust, and 82,430 shares beneficially owned by Stephens Inc. Also includes 206,116 shares beneficially owned by WAS Conns Annuity Trust One, 171,176 shares beneficially owned by Stephens Investments Holdings LLC, and 100,350 shares beneficially owned by Warren A. Stephens Grantor Trust. Also includes 652,617 shares beneficially owned by Harriet C. Stephens Trust. Also includes 841,038 shares beneficially owned by Warren and Harriet Stephens Children's Trust, 56,633 shares beneficially owned by each of Warren Miles Amerine Stephens 95 Trust, John Calhoun Stephens 95 Trust, and Laura Whitaker Stephens 95 Trust, and 6,352 shares beneficially owned by each of three additional childrens trusts. |