- Initial Statement of Beneficial Ownership (3)
11 Mai 2011 - 11:50PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Expires:
February 28, 2011
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Cavin William Dabbs
|
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/3/2011
|
3. Issuer Name
and
Ticker or Trading Symbol
FIRST FEDERAL BANCSHARES OF ARKANSAS INC [FFBH]
|
(Last)
(First)
(Middle)
FIRST FEDERAL BANCSHARES OF ARKANSAS INC, P.O. BOX 550
|
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__
X
__ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
President /
|
(Street)
HARRISON, AR 72602
(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
|
Table I - Non-Derivative Securities Beneficially Owned
|
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)
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
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
|
Warrant (right to buy)
(1)
|
5/3/2011
|
(2)
|
Common Stock
|
113333
|
$3
|
D
|
|
Explanation of Responses:
|
(
1)
|
On May 3, 2011, Bear State Financial Holdings, LLC ("Bear State") assigned a warrant representing the right to purchase 113,333 shares of common stock of First Federal Bancshares of Arkansas, Inc. (the "Issuer") to Mr. Cavin prior to his appointment as a director and the President of the Issuer. Mr. Cavin is prohibited from further assigning or transferring the warrant, except for estate planning purposes, and may not exercise the warrant without the prior written consent of Bear State.
|
(
2)
|
The warrant expires on the three year anniversary of the Second Closing (as defined in the Investment Agreement dated January 27, 2011 between the Issuer, First Federal Bank (the Issuer's wholly-owned subsidiary) and Bear State).
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Cavin William Dabbs
FIRST FEDERAL BANCSHARES OF ARKANSAS INC
P.O. BOX 550
HARRISON, AR 72602
|
X
|
|
President
|
|
Signatures
|
William Dabbs Cavin
|
|
5/11/2011
|
**
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 5(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 control number.
|
First Federal Bancshares of Arkansas, Inc. (MM) (NASDAQ:FFBHD)
Historical Stock Chart
Von Okt 2024 bis Nov 2024
First Federal Bancshares of Arkansas, Inc. (MM) (NASDAQ:FFBHD)
Historical Stock Chart
Von Nov 2023 bis Nov 2024
Echtzeit-Nachrichten über First Federal Bancshares of Arkansas, Inc. (MM) (NASDAQ): 0 Nachrichtenartikel
Weitere News-Artikel