SEC FORM 4 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*
STEPHENS WARREN A

(Last) (First) (Middle)
111 CENTER STREET

(Street)
LITTLE ROCK AR 72201

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
CONNS INC [ CONN ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
10/12/2017
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 10/12/2017 P 30,000 A $25.3593(1) 2,757,920 I By Stephens Investments Holdings LLC
Common Stock 10/13/2017 P 12,000 A $25.5018(2) 2,769,920 I By Stephens Investments Holdings LLC
Common Stock 22,619 I By Warren Miles Amerine Stephens 2012 Trust
Common Stock 385,350 I By Warren A. Stephens Grantors Trust
Common Stock 285,000 I By Warren A. Stephens Roth IRA
Common Stock 430,000 I By WAS Family Trust One
Common Stock 279,831(3) I By Harriet C. Stephens Trust
Common Stock 403,452(4) I By Paula W. and John P. Calhoun Family Trust
Common Stock 931,038 I By Warren and Harriet Stephens Childrens Trust
Common Stock 82,430 I By Stephens Inc.
Common Stock 0(5) I By WAS Conns Annuity Trust One
Common Stock 56,633 I By Warren Miles Amerine Stephens 1995 Trust
Common Stock 6,352 I By Warren Miles Amerine Stephens Trust
Common Stock 56,633 I By John Calhoun Stephens 1995 Trust
Common Stock 6,352 I By John Calhoun Stephens Trust
Common Stock 56,633 I By Laura Whitaker Stephens 1995 Trust
Common Stock 6,352 I By Laura Whitaker Stephens Trust
Common Stock 68,706(6) I By Warren Miles Amerine Stephens Revocable Trust
Common Stock 68,705(6) I By John C. Stephens Revocable Trust
Common Stock 68,705(6) I By Laura Whitaker Stephens Revocable Trust
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
Explanation of Responses:
1. Price is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $25.275 to $25.70, inclusive. 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 purchased at each separate price within such range.
2. Price is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $25.45 to $25.70, inclusive. 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 purchased at each separate price within such range.
3. Number of shares reported as indirectly owned by Harriet C. Stephens Trust reflects the receipt of 96,548 shares previously reported as indirectly owned by Paula W. & John P. Calhoun Family Trust UID 6/29/2016, a grantor retained annuity trust for the benefit of the children of Warren and Harriet Stephens.
4. Number of shares reported as indirectly owned by Paula W. & John Cahoun Family Trust UID 6/29/2016 reflects the transfer to Harriet C. Stephens Trust of 96,548 shares pursuant to an annuity obligation.
5. Number of shares reported as indirectly owned by WAS Conns Annuity Trust One reflects the gifts by WAS Conns Annuity Trust One of (i) 68,706 shares to Warren Miles Amerine Stephens Revocable Trust, (ii) 68,705 shares to John C. Stephens Revocable Trust, and (iii) 68,705 shares to Laura Whitaker Stephens Revocable Trust. All of such trusts are trusts established for the benefit of reporting person's children.
6. Represents shares previously reported as indirectly owned by WAS Conns Annuity Trust One.
Remarks:
Todd Ferguson, attorney in fact for reporting person 10/16/2017
** 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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