4//SEC Filing
Mortensen Michael A. 4
Accession 0001104659-17-066047
CIK 0001563407other
Filed
Nov 2, 8:00 PM ET
Accepted
Nov 3, 4:30 PM ET
Size
9.6 KB
Accession
0001104659-17-066047
Insider Transaction Report
Form 4
Mortensen Michael A.
SVP Sls & Mrch Smart & Final
Transactions
- Exercise/Conversion
common stock par value $0.001
2017-11-01$2.09/sh+19,304$40,345→ 40,515 total - Sale
common stock par value $0.001
2017-11-01$6.11/sh−19,304$117,947→ 21,211 total - Exercise/Conversion
Stock Option (right to buy)
2017-11-01−19,304→ 9,652 totalExercise: $2.09Exp: 2018-01-27→ Common Stock (28,956 underlying)
Footnotes (4)
- [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. Mortensen on September 13, 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 $5.95 to $6.18 per share. Mr. Mortensen 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]The option was granted on January 27, 2011. 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 typeother
Related Parties
1- filerCIK 0001613936
Filing Metadata
- Form type
- 4
- Filed
- Nov 2, 8:00 PM ET
- Accepted
- Nov 3, 4:30 PM ET
- Size
- 9.6 KB