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)
10/01/2020
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 10/01/2020 G V 56,633 D $0 0 I By Warren M A Stephens 1995 Trust
Common Stock 10/01/2020 G V 6,352 D $0 0 I By Warren Miles Amerine Stephens Trust
Common Stock 10/01/2020 G V 56,633 D $0 0 I By John Calhoun Stephens 1995 Trust
Common Stock 10/01/2020 G V 6,352 D $0 0 I By John Calhoun Stephens Trust
Common Stock 10/01/2020 G V 56,633 D $0 0 I By Laura Whitaker Stephens 1995 Trust
Common Stock 10/01/2020 G V 6,352 D $0 0 I By Laura Whitaker Stephens Trust
Common Stock 640,516 I By Stephens Investments Holdings LLC
Common Stock 143,333 I By Warren Miles Amerine Stephens Family Trust One
Common Stock 143,333 I By John Calhoun Stephens Family Trust One
Common Stock 143,334 I By Laura Whitaker Stephens Family Trust One
Common Stock 1,092,128(1) I By WAS Family Trust Five
Common Stock 431,546(1)(2) I By Warren A. Stephens Trust
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.
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. Reflects gift of 407,872 shares from WAS Family Trust Five to Warren A. Stephens Trust.
2. Reflects gift of 23,674 shares from WAS Family Trust Three to Warren A. Stephens Trust.
Todd Ferguson, attorney in fact for reporting person 03/16/2021
** 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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