Filing Details
- Accession Number:
- 0001209191-20-056696
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-11-03 17:16:37
- Reporting Period:
- 2020-11-02
- Accepted Time:
- 2020-11-03 17:16:37
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1092796 | Smith & Wesson Brands Inc. | SWBI | Ordnance & Accessories, (No Vehicles/Guided Missiles) (3480) | 870543688 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1309339 | F Michael Golden | 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 | 2020-11-02 | 10,000 | $2.15 | 284,001 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-11-02 | 7,756 | $17.08 | 276,245 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-11-02 | 2,244 | $17.71 | 274,001 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
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 | 2020-11-02 | 10,000 | $0.00 | 10,000 | $2.15 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2021-09-26 | No | 4 | M | Direct |
Footnotes
- In connection with the August 24, 2020 distribution of all of the shares of American Outdoor Brands, Inc. common stock owned by Smith & Wesson Brands, Inc. (the "Company") to the stockholders of the Company (the "Distribution"), the exercise price of the options was adjusted from $2.65 to $2.15 to maintain, immediately following the consummation of the Distribution, the intrinsic value of the award immediately prior to the consummation of the Distribution.
- The shares were sold pursuant to a 10b5-1 Trading Plan dated September 11, 2020.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.56 to $17.55, 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 (the "SEC"), 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 $17.65 to $17.76, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- 1/12 of the total number of options granted vested and became exercisable each month following the date of grant.
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