Initial Statement of Beneficial Ownership (3)
11 April 2020 - 7:05AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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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1. Name and Address of Reporting Person
*
MAKRIS GEORGE A III |
2. Date of Event Requiring Statement (MM/DD/YYYY)
4/1/2020
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3. Issuer Name and Ticker or Trading Symbol
SIMMONS FIRST NATIONAL CORP [SFNC]
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(Last)
(First)
(Middle)
C/O SIMMONS FIRST NATIONAL CORP., 501 MAIN STREET |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) EVP, Gen. Counsel & Corp. Sec. / |
(Street)
PINE BLUFF, AR 71601
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
SFNC | 35538 | D | |
SFNC | 1780 | I | By Spouse |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Unit | (2) | (2) | Common | 469 | (1) | D | |
Restricted Stock Unit | (3) | (3) | Common | 1019 | (1) | D | |
Restricted Stock Unit | (4) | (4) | Common | 9403 | (1) | D | |
Restricted Stock Unit | (5) | (5) | Common | 2620 | (1) | D | |
Explanation of Responses: |
(1) | Each Restricted Stock Unit represents a contingent right to receive one share of Simmons First National Corporation common stock. |
(2) | The balance of Restricted Stock Unit vests on February 26, 2021. SFNC shares will be delivered within 30 days of vesting. Events such as retirement, death, disability and other specified events in the agreement may result in earlier vesting. |
(3) | 509 Restricted Stock Units vest on February 26, 2021 and 510 Restricted Stock Units vest on February 26, 2022. SFNC shares will be delivered within 30 days of vesting. Events such as retirement, death, disability and other specified events in the agreement may result in earlier vesting. |
(4) | 3,134 Restricted Stock Units vest on December 16, 2020, 3,134 Restricted Stock Units vest on December 16, 2021 and 3,135 Restricted Stock Units vest on December 16, 2022. SFNC shares will be delivered within 30 days of vesting. Events such as retirement, death, disability and other specified events in the agreement may result in earlier vesting. |
(5) | 873 Restricted Stock Units vest on February 26, 2021, 873 Restricted Stock Units vest on February 26, 2022 and 874 Restricted Stock Units vest on February 26, 2023. SFNC shares will be delivered within 30 days of vesting. Events such as retirement, death, disability and other specified events in the agreement may result in earlier vesting. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
MAKRIS GEORGE A III C/O SIMMONS FIRST NATIONAL CORP. 501 MAIN STREET PINE BLUFF, AR 71601 |
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| EVP, Gen. Counsel & Corp. Sec. |
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Signatures
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/s/ George A. Makris, III by Piper P. Erwin | | 4/10/2020 |
**Signature of Reporting Person | Date |
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