Filing Details
- Accession Number:
- 0001209191-14-001945
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-01-06 17:34:36
- Reporting Period:
- 2014-01-03
- Filing Date:
- 2014-01-06
- Accepted Time:
- 2014-01-06 17:34:36
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1092796 | Smith & Wesson Holding Corp | SWHC | Ordnance & Accessories, (No Vehicles/Guided Missiles) (3480) | 870543688 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1112727 | A Mitchell Saltz | 2100 Roosevelt Avenue Springfield MA 01104 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-01-03 | 10,000 | $1.68 | 16,034 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-01-03 | 10,000 | $5.31 | 26,034 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-01-03 | 10,000 | $4.44 | 36,034 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-01-03 | 10,000 | $5.79 | 46,034 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-01-03 | 10,000 | $3.69 | 56,034 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-01-03 | 10,000 | $2.65 | 66,034 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-01-03 | 60,000 | $13.33 | 6,034 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2014-01-03 | 5,000 | $13.44 | 184,100 | No | 4 | S | Indirect | By Limited Partnership |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Indirect | By Limited Partnership |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Director Stock Option (Right to Buy) | Disposition | 2014-01-03 | 10,000 | $0.00 | 10,000 | $1.68 |
| Common Stock | Director Stock Option (Right to Buy) | Disposition | 2014-01-03 | 10,000 | $0.00 | 10,000 | $5.31 |
| Common Stock | Director Stock Option (Right to Buy) | Disposition | 2014-01-03 | 10,000 | $0.00 | 10,000 | $4.44 |
| Common Stock | Director Stock Option (Right to Buy) | Disposition | 2014-01-03 | 10,000 | $0.00 | 10,000 | $5.79 |
| Common Stock | Director Stock Option (Right to Buy) | Disposition | 2014-01-03 | 10,000 | $0.00 | 10,000 | $3.69 |
| Common Stock | Director Stock Option (Right to Buy) | Disposition | 2014-01-03 | 10,000 | $0.00 | 10,000 | $2.65 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2004-09-13 | 2014-09-13 | No | 4 | M | Direct |
| 0 | 2005-09-21 | 2015-09-21 | No | 4 | M | Direct |
| 0 | 2018-09-15 | No | 4 | M | Direct | |
| 0 | 2019-09-14 | No | 4 | M | Direct | |
| 0 | 2020-09-27 | No | 4 | M | Direct | |
| 0 | 2021-09-26 | No | 4 | M | Direct |
Footnotes
- The shares were sold pursuant to a 10b5-1 Sales Plan dated December 19, 2013.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.24 to $13.64, inclusive. The reporting person undertakes to provide to Smith & Wesson Holding Corporation (the "Company"), any security holder of the Company, 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 ranges set forth in this footnote.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.28 to $13.63, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, 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 ranges set forth in this footnote.
- The amount of securities beneficially owned by Stockbridge Enterprises, L.P. prior to the reported transaction included 5,000 shares previously reported as being held directly by the reporting person.
- The shares are held by Stockbridge Enterprises, L.P., of which the reporting person controls the investment decisions. Stockbridge Enterprises, L.P. is owned by a limited partnership in which the reporting person owns an indirect interest.
- 1/12th of the total number of options granted vested and became exercisable each month after the September 15, 2008 date of grant.
- 1/12th of the total number of options granted vested and became exercisable each month after the September 14, 2009 date of grant.
- 1/12th of the total number of options granted vested and became exercisable each month after the September 27, 2010 date of grant.
- 1/12th of the total number of options granted vested and became exercisable each month after the September 26, 2011 date of grant.
Billionaire Hedge Funds
