SEC Form 4 · accession 0001209191-15-024628
SMITH & WESSON BRANDS, INC. · SWBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Peter Smith
Officer — See remarks.
Period of report
Mar 9, 2015
Accepted (ET)
Mar 10, 2015 · 4:40 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001092796
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 9, 2015 | M | 6,666 | $3.57 | A | 47,671 | D | |
| Common Stock | Mar 9, 2015 | M | 8,000 | $7.98 | A | 55,671 | D | |
| Common Stock | Mar 9, 2015 | M | 8,333 | $4.54 | A | 64,004 | D | |
| Common StockF2 | Mar 9, 2015 | S | 22,999 | $14.0906 | D | 41,005 | D | |
| Common StockF3 | Mar 9, 2015 | S | 8,150 | $14.091 | D | 32,855 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F4 | $3.57 | Mar 9, 2015 | M | 6,666 | D | — | Jul 12, 2021 | Common Stock | 6,666 | 0 | D |
| Employee Stock Option (Right to Buy)F5 | $7.98 | Mar 9, 2015 | M | 8,000 | D | — | Apr 24, 2022 | Common Stock | 8,000 | 8,000 | D |
| Employee Stock Option (Right to Buy)F6 | $4.54 | Mar 9, 2015 | M | 8,333 | D | — | Jan 4, 2022 | Common Stock | 8,333 | 8,333 | D |
Explanation of responses
- F1The shares were sold pursuant to a 10b5-1 Sales Plan dated December 23, 2013, as amended March 17, 2014.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.00 to $14.28, 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.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.00 to $14.27, 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.
- F4One-third of the total number of options granted on July 12, 2011 vested and became exercisable on each of the first, second, and third anniversary of the date of grant.
- F5One-third of the total number of options granted on April 24, 2012 vested or shall vest and became or shall become exercisable on each of the first, second, and third anniversary of the date of grant.
- F6One-third of the total number of options granted on January 4, 2012 vested and became exercisable on each of the first, second, and third anniversary of the date of grant.
Remarks
The reporting person is the VP Manufacturing and Supply Chain Management.