BEAR STATE FINANCIAL, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 23 rows, 23 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-04-20: Reporting owner FORD SCOTT T; Form 4; Security Warrant (right to buy); Transaction U Disposition pursuant to a tender of shares in a change of control transaction.
- 2018-04-20: Reporting owner Massey Richard N; Form 4; Security Warrant (right to buy); Transaction U Disposition pursuant to a tender of shares in a change of control transaction.
- 2014-12-15: Reporting owner FORD SCOTT T; Form 4; Security Warrant (Right to Buy); Transaction J Other acquisition or disposition (describe transaction).
- 2014-12-15: Reporting owner Massey Richard N; Form 4; Security Warrant (right to buy); Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-04-20 | FORD SCOTT T Director | 4 | Warrant (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −39,381 0 owned after | $3.17 | 2018-04-20 | |
| 2018-04-20 | Massey Richard N Director, 10% Owner | 4 | Warrant (right to buy) Derivative · Direct | U Disposition pursuant to a tender of shares in a change of control transaction | −39,381 0 owned after | $3.17 | 2018-04-20 | |
| 2014-12-15 | FORD SCOTT T Director | 4 | Warrant (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +3,938 39,381 owned after | $7.90 exercise price | 2015-01-23 | |
| 2014-12-15 | Massey Richard N Director, Officer (President and CEO), 10% Owner | 4 | Warrant (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +3,938 39,381 owned after | $7.90 exercise price | 2015-01-23 | |
| 2014-06-17 holding as of filing | Massey Richard N Director, Officer (President and CEO), 10% Owner | 4 | Warrant (right to buy) Derivative · Direct | Holding | 35,443 owned after | $7.90 exercise price | 2014-06-17 | |
| 2014-06-13 | Massey Richard N Director, Officer (President and CEO), 10% Owner | 4 | Warrant (right to buy) Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −1,079,000 0 owned after | $3.00 exercise price | 2014-06-17 | |
| 2014-06-13 | Bear State Financial Holdings, LLC 10% Owner | 4 | Warrant (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,079,000 0 owned after | $3.00 exercise price | 2014-06-17 | |
| 2014-03-24 holding as of filing | Massey Richard N Director, 10% Owner | 4 | Warrant (right to buy) Derivative · Direct | Holding | 35,443 owned after | $7.90 exercise price | 2014-03-24 | |
| 2013-08-15 holding as of filing | Massey Richard N Director | 4 | Warrant (right to buy) Derivative · Indirect · By Bear State Financial Holdings, LLC | Holding | 1,095,000 owned after | $3.00 exercise price | 2013-08-15 | |
| 2013-08-13 | FORD SCOTT T Director | 4 | Warrant (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,443 35,443 owned after | $7.90 exercise price | 2013-08-15 | |
| 2013-08-13 | Massey Richard N Director | 4 | Warrant (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,443 35,443 owned after | $7.90 exercise price | 2013-08-15 | |
| 2013-07-19 | Wewers Christopher M. Director, Officer (President & CEO) | 4 | Warrant (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −95,000 0 owned after | $3.00 exercise price | 2013-07-23 | |
| 2013-07-19 | Cavin William Dabbs Director | 4 | Warrant (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −113,333 0 owned after | $3.00 exercise price | 2013-07-23 | |
| 2013-07-12 | Massey Richard N Director, 10% Owner | 4 | Warrant (right to buy) Derivative · Indirect · By Bear State Financial Holdings, LLC | J Other acquisition or disposition (describe transaction) | −16,000 1,079,000 owned after | $3.00 exercise price | 2014-03-24 | |
| 2013-07-12 | Bear State Financial Holdings, LLC 10% Owner | 4 | Warrant (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | −16,000 1,079,000 owned after | $3.00 exercise price | 2014-03-24 | |
| 2013-03-14 | Massey Richard N Director, 10% Owner | 4 | Warrant (right to buy) Derivative · Indirect · By Bear State Financial Holdings, LLC | X Exercise of in-the-money or at-the-money derivative security | −595,000 1,095,000 owned after | $3.00 exercise price | 2013-03-15 | |
| 2013-03-14 | Bear State Financial Holdings, LLC 10% Owner | 4 | Warrant (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −595,000 1,095,000 owned after | $3.00 exercise price | 2013-03-15 | |
| 2011-05-11 holding as of filing | Wewers Christopher M. Officer (EVP & Chief Operating Officer) | 3 | Warrant (right to buy) Derivative · Direct | Holding | $3.00 exercise price | 2011-05-11 | ||
| 2011-05-11 holding as of filing | Cavin William Dabbs Director, Officer (President) | 3 | Warrant (right to buy) Derivative · Direct | Holding | $3.00 exercise price | 2011-05-11 | ||
| 2011-05-11 holding as of filing | Massey Richard N Director, 10% Owner | 3 | Warrant (right to buy) Derivative · Indirect · By Bear State Financial Holdings, LLC | Holding | $3.00 exercise price | 2011-05-11 | ||
| 2011-05-11 holding as of filing | Bear State Financial Holdings, LLC 10% Owner | 3 | Warrant (right to buy) Derivative · Direct | Holding | $3.00 exercise price | 2011-05-11 | ||
| 2011-05-03 | Massey Richard N Director, 10% Owner | 5 | Warrant (right to buy) Derivative · Indirect · By Bear State Financial Holdings, LLC | J Other acquisition or disposition (describe transaction) | −310,000 1,690,000 owned after | $3.00 exercise price | 2012-02-14 | |
| 2011-05-03 | Bear State Financial Holdings, LLC 10% Owner | 5 | Warrant (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | −310,000 1,690,000 owned after | $3.00 exercise price | 2012-02-14 |