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Filing Details

Accession Number:: 0001104659-16-148913
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-10-05 16:31:37
Reporting Period:: 2016-10-03

Filing Date:: 2016-10-05
Accepted Time:: 2016-10-05 16:31:37
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
1613932	G. David Hirz	600 Citadel Drive Commerce CA 90040	President & Ceo	Yes	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock, Par Value $0.001	Acquisiton	2016-10-03	16,778	$2.09	166,219	No	4	M	Direct
Common Stock, Par Value $0.001	Disposition	2016-10-03	16,778	$12.80	149,441	No	4	S	Direct
Common Stock, Par Value $0.001	Acquisiton	2016-10-03	52,857	$2.09	202,298	No	4	M	Direct
Common Stock, Par Value $0.001	Disposition	2016-10-03	31,850	$12.79	170,448	No	4	S	Direct
Common Stock, Par Value $0.01	Acquisiton	2016-10-04	62,762	$2.09	233,210	No	4	M	Direct
Common Stock Par Value $0.01	Disposition	2016-10-04	62,762	$12.78	170,448	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (right to buy)	Acquisiton	2016-10-03	16,778	$0.00	794,384	$2.09
Common Stock	Stock Option (right to buy)	Acquisiton	2016-10-03	52,857	$0.00	777,606	$2.09
Common Stock	Stock Option (right to buy	Acquisiton	2016-10-04	62,762	$0.00	724,749	$2.09

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
777,606	2017-04-06	No	4	M	Direct
724,749	2017-04-06	No	4	M	Direct
661,987	2017-04-06	No	4	M	Direct

Footnotes

These shares were acquired pursuant to exercises of stock options as described in Table II.
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.
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 $12.55 to $12.91 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.
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 $12.56 to $12.90 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.
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 $12.67 to $12.96 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.
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.