4//SEC Filing
Smart & Final Stores, Inc. 4
Accession 0001104659-17-018613
CIK 0001563407operating
Filed
Mar 21, 8:00 PM ET
Accepted
Mar 22, 4:31 PM ET
Size
21.3 KB
Accession
0001104659-17-018613
Insider Transaction Report
Form 4
Hirz David G.
DirectorPresident & CEO
Transactions
- Exercise/Conversion
common stock, par value $0.001
2017-03-20$2.09/sh+55,198$115,364→ 315,760 total - Exercise/Conversion
common stock, par value $0.001
2017-03-21$2.09/sh+24,343$50,877→ 284,905 total - Sale
common stock, par value $0.001
2017-03-20$11.54/sh−55,198$636,985→ 260,562 total - Sale
common stock, par value $0.001
2017-03-21$11.46/sh−24,343$278,971→ 260,562 total - Exercise/Conversion
common stock, par value $0.001
2017-03-21$2.09/sh+52,858$110,473→ 313,420 total - Sale
common stock par value $0.001
2017-03-21$11.61/sh−32,401$376,176→ 281,019 total - Exercise/Conversion
Stock Option (right to buy)
2017-03-20−55,198→ 77,201 totalExercise: $2.09Exp: 2017-04-06→ common stock (132,399 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-03-21−24,343→ 52,858 totalExercise: $2.09Exp: 2017-04-06→ common stock (77,201 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-03-21−52,858→ 0 totalExercise: $2.09Exp: 2017-04-06→ common stock (52,858 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 affected pursuant to a Rule 10b5-1 sales plan adopted by Mr. Hirz on August 10, 2016.
- [F3]These shares are comprised of shares acquired pursuant to exercises of stock options as described in Footnote 1, and were sold in multiple transactions at prices ranging from $11.40 to $12.05 per share. The price reported reflects the weighted average price. Mr. Hirz 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 shares acquired pursuant to exercises of stock options as described in Footnote 1, and were sold in multiple transactions at prices ranging from $11.40 to $11.55 per share. The price reported reflects the weighted average price. Mr. Hirz 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]These shares are comprised of shares acquired pursuant to exercises of stock options as described in Footnote 1, and were sold in multiple transactions at prices ranging from $11.45 to $11.75 per share. The price reported reflects the weighted average price. Mr. Hirz 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.
- [F6]The option was granted on April 6, 2010. A portion of the option was scheduled to vest ratably over four years following the date of grant, and the remainder of the option was scheduled to vest upon achievement by Smart & Final Holdings Corp. of certain performance measures. In connection with the acquisition of Smart & Final Holdings Corp. by Smart & Final Stores, Inc., this option accelerated and vested in accordance with its terms on November 15, 2012.
Documents
Issuer
Smart & Final Stores, Inc.
CIK 0001563407
Entity typeoperating
IncorporatedCA
Related Parties
1- filerCIK 0001563407
Filing Metadata
- Form type
- 4
- Filed
- Mar 21, 8:00 PM ET
- Accepted
- Mar 22, 4:31 PM ET
- Size
- 21.3 KB