Filing Details
- Accession Number:
- 0001104659-16-131347
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-07-06 17:52:30
- Reporting Period:
- 2016-07-01
- Filing Date:
- 2016-07-06
- Accepted Time:
- 2016-07-06 17:52:30
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1563407 | Smart & Final Stores Inc. | SFS | Retail-Grocery Stores (5411) | 800862253 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1613937 | R. Scott Drew | Smart &Amp; Final Stores, Inc. 600 Citadel Drive Commerce CA 90040 | Evp, Operations | No | Yes | 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, Par Value $0.001 | Acquisiton | 2016-07-01 | 23,084 | $2.09 | 48,185 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.001 | Disposition | 2016-07-01 | 23,084 | $14.98 | 25,101 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.001 | Acquisiton | 2016-07-05 | 1,916 | $2.09 | 27,017 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.001 | Disposition | 2016-07-05 | 1,916 | $14.82 | 25,101 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Acquisiton | 2016-07-01 | 23,084 | $0.00 | 115,140 | $2.09 |
| Common Stock | Stock Option (right to buy) | Acquisiton | 2016-07-05 | 1,916 | $0.00 | 92,056 | $2.09 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 92,056 | 2017-04-06 | No | 4 | M | Direct | |
| 90,140 | 2017-04-06 | No | 4 | M | Direct |
Footnotes
- These shares were acquired pursuant to exercise of stock options as described in Table II.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 sales plan adopted by Mr. Drew on May 23, 2016.
- These shares are comprised of shares acquired pursuant to exercises of stock options as described in Footnote 1, and were sold in multiple transactions ranging from $14.90 to $15.06 per share. The price reported reflects the weighted average price. Mr. Drew 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.
- These shares are comprised of shares acquired pursuant to exercises of stock options as described in Footnote 1, and were sold in multiple transactions ranging from $14.77 to $14.86 per share. The price reported reflects the weighted average price. Mr. Drew 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.
- 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.
Billionaire Hedge Funds
