-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, GUj8A+Ah4l538VzBW/vBjDx4qrwRwTx7S97Mfj6hkXLTtmd3S0HHHPkRorjlBmxe p6E5InwQNF0dEBD2KbQyLg== 0000911137-98-000001.txt : 19980218 0000911137-98-000001.hdr.sgml : 19980218 ACCESSION NUMBER: 0000911137-98-000001 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980212 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BANK OF THE OZARKS INC CENTRAL INDEX KEY: 0001038205 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 710556208 STATE OF INCORPORATION: AR FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-53163 FILM NUMBER: 98537098 BUSINESS ADDRESS: STREET 1: 425 WEST CAPITOL AVENUE STREET 2: SUITE 3100 CITY: LITTLE ROCK STATE: AR ZIP: 72201 BUSINESS PHONE: 5013744100 MAIL ADDRESS: STREET 1: 425 WEST CAPITOL AVENUE STREET 2: SUITE 3100 CITY: LITTLE ROCK STATE: AR ZIP: 72201 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GLEASON GEORGE G II CENTRAL INDEX KEY: 0001053048 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 425 WEST CAPITOL AVE SUITE 3100 CITY: LITTLE ROCK STATE: AR ZIP: 72201 BUSINESS PHONE: 5013744100 MAIL ADDRESS: STREET 1: 425 WEST CAPITOL AVENUE STREET 2: SUITE 3100 CITY: LITTLE ROCK STATE: AK ZIP: 72201 SC 13G 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ____)* Bank of the Ozarks, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 063904 10 6 (CUSIP Number) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 063904 10 6. CUSIP NO. 063904 10 6 Page 2 of 7 Pages 1. NAME OF REPORTING PERSONS, I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON (ENTITIES ONLY). George G. Gleason, II 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP.* (a) [ ] (b) [ ] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States of America NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5. SOLE VOTING POWER 1,264,083 6. SHARED VOTING POWER 37,000 7. SOLE DISPOSITIVE POWER 1,172,700 8. SHARED DISPOSITIVE POWER 37,000 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,301,083 10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 34.4% CUSIP NO. 063904 10 6 Page 3 of 7 Pages 12. TYPE OF REPORTING PERSON* IN * See Instructions before filling out! CUSIP NO. 063904 10 6 Page 4 of 7 Pages ITEM 1(A) NAME OF ISSUER: Bank of the Ozarks, Inc. ITEM 1(B) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 425 West Capitol Avenue, Suite 3100, Little Rock, Arkansas 72201 ITEM 2 (a) NAME OF PERSON FILING: George G. Gleason, II (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: 425 West Capitol Avenue Suite 3100 Little Rock, Arkansas 72201 (c) CITIZENSHIP: United States of America (d) TITLE OF CLASS OF SECURITIES: Common Stock, par value $0.01 per share. (e) CUSIP NUMBER: 063904 10 6 ITEM 3: IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(B), OR 13D-2(B), CHECK WHETHER THE PERSON FILING IS A: (a)[ ] Broker or Dealer registered under Section 15 of the Act (b)[ ] Bank as defined in Section 3(a)(6) of the Act (c)[ ] Insurance Company as defined in Section 3(a)(19) of the Act (d)[ ] Investment Company registered under Section 8 of the Investment Company Act CUSIP NO. 063904 10 6 Page 5 of 7 Pages (e)[ ] Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940 (f)[ ] Employee Benefit Plan, Pension fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Section 240.13d-1(b)(1)(ii)(F) (g)[ ] Parent Holding Company, in accordance with Section 240.13b-1(b)(1)(ii)(G) (h)[ ] Group, in accordance with Section 240.13d- 1(b)(1)(ii)(H) Not Applicable ITEM 4. OWNERSHIP. (A) Amount Beneficially Owned: 1,301,083 (B) Percent of Class: 34.4 (based upon 3,779,555 shares outstanding at December 31, 1997) (C) Number of shares as to which such person has: (i) sole power to vote or direct the vote 1,264,083, which includes (i) 961,600 shares held directly by Mr. Gleason, (ii) 91,383 shares held in Mr. Gleason's name in the Bank of the Ozarks, Inc. Stock Ownership Plan and Trust (the "ESOP"), (iii) 210,700 shares owned of record by a trust for which Mr. Gleason is sole trustee, and (iv) 400 shares owned of record by Mr. Gleason's minor children. (ii) shared power to vote or to direct the vote 37,000, all of which are held of record in a charitable trust for which Mr. Gleason is a co-trustee with his spouse. (iii) sole power to dispose or to direct the disposition of CUSIP NO. 063904 10 6 Page 6 of 7 Pages 1,172,700, which includes (i) 961,600 shares held directly by Mr. Gleason, (ii) 210,700 shares owned of record by a trust for which Mr. Gleason is sole trustee and (iii) 400 shares of record owned by Mr. Gleason's minor children (iv) shared power to dispose or to direct the disposition of 37,000, all of which are held of record in a charitable trust for which Mr. Gleason is a co-trustee with his spouse. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. Not Applicable ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not applicable ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Not Applicable ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not Applicable ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not Applicable ITEM 10. CERTIFICATION. Not Applicable CUSIP NO. 063904 10 6 Page 7 of 7 Pages SIGNATURE. After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. February 6, 1998. /s/ George G. Gleason, II - ------------------------- George G. Gleason, II -----END PRIVACY-ENHANCED MESSAGE-----