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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
CONNS INC [ CONN ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 10/04/2019 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 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 | 10/04/2019 | G | V | 37,725 | D | $0 | 1,255,195 | I | By Stephens Investments Holdings LLC | |
Common Stock | 10/08/2019 | G | V | 9,737 | D | $0 | 1,245,458 | I | By Stephens Investments Holdings LLC | |
Common Stock | 12/17/2019 | G | V | 19,950 | D | $0 | 1,225,508 | I | By Stephens Investments Holdings LLC | |
Common Stock | 12/17/2019 | G | V | 80,100 | D | $0 | 1,145,408 | I | By Stephens Investments Holdings LLC | |
Common Stock | 12/17/2019 | G | V | 150,000 | D | $0 | 995,408 | I | By Stephens Investments Holdings LLC | |
Common Stock | 12/17/2019 | G | V | 80,100 | D | $0 | 915,308 | I | By Stephens Investments Holdings LLC | |
Common Stock | 12/18/2019 | G | V | 169,948 | D | $0 | 745,360 | I | By Stephens Investments Holdings LLC | |
Common Stock | 12/23/2019 | G | V | 81,170 | D | $0 | 640,516(1) | I | By Stephens Investments Holdings LLC | |
Common Stock | 143,333(2) | I | By Warren Miles Amerine Stephens Family Trust One | |||||||
Common Stock | 143,333(2) | I | By John Calhoun Stephens Family Trust One | |||||||
Common Stock | 143,334(2) | I | By Laura Whitaker Stephens Family Trust One | |||||||
Common Stock | 23,674(3) | I | By WAS Family Trust Three | |||||||
Common Stock | 1,500,000(4) | I | By WAS Family Trust Five | |||||||
Common Stock | 310,346 | I | By Laura Whitaker Stephens WHCT Trust | |||||||
Common Stock | 128,450 | I | By Laura W. Stephens WAS Grantor Trust | |||||||
Common Stock | 342,081 | I | By Harriet C. Stephens Trust | |||||||
Common Stock | 22,619 | I | By Warren Miles Amerine Stephens 2012 Trust | |||||||
Common Stock | 285,000 | I | By Warren A. Stephens Roth IRA | |||||||
Common Stock | 82,430 | I | By Stephens Inc. | |||||||
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 |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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. Remaining share balance also reflects transfer on 1/30/2020 to WAS Family Trust Five, for no consideration, of 23,674 shares previously reported as owned indirectly by Stephens Investments Holdings LLC. |
2. Reflects transfer to trust, for no consideration, of shares previously reported as owned indirectly by WAS Family Trust One. |
3. Reflects transfer to Warren A. Stephens' revocable trust, for no consideration, of 1,476,326 shares previously reported as owned indirectly by WAS Family Trust Three. |
4. Reflects transfer to WAS Family Trust Five by Warren A. Stephens' revocable trust, for no consideration, of 1,476,326 shares previously reported as owned indirectly by WAS Family Trust Three. Also reflects transfer to WAS Family Trust Five, for no consideration, of 23,674 shares previously reported as owned indirectly by Stephens Investments Holdings LLC. |
Remarks: |
Todd Ferguson, attorney in fact for reporting person | 01/31/2020 | |
** 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |