Smart & Final Stores, Inc. 4

Accession 0001104659-15-086814

CIK 0001563407operating

View on SEC.gov Company Profile

Filed

Dec 27, 7:00 PM ET

Accepted

Dec 28, 8:02 AM ET

Size

21.9 KB

Accession

0001104659-15-086814

Insider Transaction Report

Form 4

Period: 2015-12-23

Smart & Final Stores, Inc.SFS

Hong Eleanor

Senior VP and CMO

Transactions

Exercise/Conversion
common stock, par value $0.001
2015-12-23$12.00/sh+11,441$137,292→ 72,004 total
Exercise/Conversion
Stock Option (right to buy)
2015-12-23−3,466→ 62,401 total
Exercise: $12.00Exp: 2024-09-23→ common stock (65,867 underlying)
Exercise/Conversion
Stock Option (right to buy)
2015-12-23−3,998→ 102,324 total
Exercise: $12.00Exp: 2024-09-23→ common stock (106,322 underlying)
Exercise/Conversion
Stock Option(right to buy)
2015-12-24−1,598→ 100,726 total
Exercise: $12.00Exp: 2024-09-23→ Common stock (102,324 underlying)
Sale
common stock, par value $0.001
2015-12-23$18.00/sh−16,628$299,311→ 55,376 total
Sale
Common stock par value $0.001
2015-12-24$18.00/sh−1,787$32,169→ 55,376 total
Exercise/Conversion
Common stock par value $0.001
2015-12-24$12.00/sh+1,787$21,444→ 57,163 total
Exercise/Conversion
Stock Option (right to buy)
2015-12-23−3,977→ 75,190 total
Exercise: $12.00Exp: 2024-09-23→ common stock (79,167 underlying)
Exercise/Conversion
Stock Option(right to buy)
2015-12-24−189→ 75,001 total
Exercise: $12.00Exp: 2024-09-23→ Common stock (75,190 underlying)

Footnotes (6)

[F1]These shares were acquired pursuant to exercises of stock options as described in Table II.
[F2]The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 sales plan adopted by Ms. Hong on November 19, 2015.
[F3]These shares are comprised of 11,441 shares acquired pursuant to exercises of stock options as described in Footnote 1 and 5,187 shares previously reported shares held directly by Ms. Hong, and were sold in multiple transactions at prices ranging from $18.00 to $18.02 per share. The price reported reflects the weighted average price. Ms. Hong undertakes to provide the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
[F4]These shares are comprised of 1,787 shares acquired pursuant to exercises of stock options as described in Footnote 1, and were sold in multiple transactions at prices ranging from $18.00 to $18.03 per share. The price reported reflects the weighted average price. Ms. Hong undertakes to provide the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
[F5]The option was granted on September 23, 2014 and vests in five equal installments on September 23, 2015, 2016, 2017, 2018 and 2019.
[F6]The option was granted on September 23, 2014 and vests in five equal installments on March 3, 2015, 2016, 2017, 2018 and 2019.

Documents

1 file

4
a4.xmlPrimary
4

Issuer

Smart & Final Stores, Inc.

CIK 0001563407

→

Entity typeoperating

IncorporatedCA

Related Parties

filerCIK 0001563407

Filing Metadata

Form type: 4
Filed: Dec 27, 7:00 PM ET
Accepted: Dec 28, 8:02 AM ET
Size: 21.9 KB

View on SEC.gov