SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
French Tracy

(Last) (First) (Middle)
P.O. BOX 966

(Street)
CONWAY AR 72033

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
HOME BANCSHARES INC [ HOMB ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Centennial Bank CEO/President
3. Date of Earliest Transaction (Month/Day/Year)
01/22/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
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. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction 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 - Restricted Stock 01/22/2021 01/22/2021 A 3,000(1) A $0.00 6,000(2)(3) D
Common Stock - Performance Based 83,334(4)(5)(6) D
Common Stock 154,615(7) D
Common Stock 29,672 I By IRA
Common Stock 45,020.4977(8) I By 401(k)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 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: 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
Performance Stock Option $23.32 (9) 07/19/2028 Common Stock 150,000 150,000 D
Stock Option $8.62 (10) 01/17/2023 Common Stock 40,000 40,000 D
Stock Option $9.54 (11) 04/17/2023 Common Stock 40,000 40,000 D
Stock Option $14.71 (12) 01/15/2025 Common Stock 100,000 100,000 D
Performance Stock Option $18.46 (13) 08/23/2025 Common Stock 150,000 150,000 D
Explanation of Responses:
1. Restricted Stock granted on January 22, 2021 will vest in 33 1/3% installments over three years beginning on the first anniversary of the award date
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. The reporting person had 8,334 shares of restricted stock vest since the last filing.
4. The Performance Stock awarded on July 19, 2018 will vest in 33 1/3% installments over three years beginning on the third annual anniversary of the date that the performance goal is met.
5. The Performance Stock awarded on August 24, 2015 will vest in 33 1/3% installments over five years beginning on the third annual anniversary of the date that the performance goal is met. The performance goal was met on December 31, 2016 and began vesting in 33 1/3% installments on December 31, 2019.
6. The reporting person had 8,333 shares of performance based restricted stock vest since the last filing.
7. The reporting person had 8,334 shares of restricted stock vest and 8,333 shares of performance based restricted stock vest since the last filing.
8. Includes 1390.1792 shares acquired through the Home BancShares, Inc. 401(k) Plan since the last filing.
9. The Performance Stock Option awarded on July 19, 2018 is exercisable in five equal annual installments beginning on the first annual anniversary of the date that the performance goal is met.
10. The option is exercisable in five equal annual installments. The first installment became exercisable on January 16, 2016.
11. The option is exercisable in five equal annual installments. The first installment became exercisable on January 18, 2014.
12. The option is exercisable in five equal annual installments. The first installment becomes exercisable on April 18, 2014.
13. Once the performance goal has been met, the Performance Stock Option awarded on August 24, 2015 is exercisable in seven equal annual installments beginning on the first annual anniversary of the award date. The performance goal was met on December 31, 2016. Therefore, the first installment became exercisable on August 24, 2016.
Remarks:
/s/ Tracy French by Micah Osborne 01/25/2021
** 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).
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