SEC Form 4 · accession 0001209191-15-069171
SMITH & WESSON BRANDS, INC. · SWBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Barry M Monheit
Director
Period of report
Sep 1, 2015
Accepted (ET)
Sep 2, 2015 · 5:30 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 | Sep 1, 2015 | M | 10,000 | $4.44 | A | 25,534 | D | |
| Common Stock | Sep 1, 2015 | M | 10,000 | $12.88 | A | 35,534 | D | |
| Common Stock | Sep 1, 2015 | S | 20,000 | $18.50 | D | 15,534 | D | |
| Common StockF2 | holding | — | — | — | 66,800 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Director Stock Option (Right to Buy)F3 | $4.44 | Sep 1, 2015 | M | 10,000 | D | — | Sep 15, 2018 | Common Stock | 10,000 | 0 | D |
| Director Stock Option (Right to Buy)F4 | $12.88 | Sep 1, 2015 | M | 10,000 | D | — | Sep 18, 2016 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1The shares were sold pursuant to a 10b5-1 Trading Plan dated June 22, 2015.
- F2The shares are held by Barry M. Monheit, Trustee, SEP PROP Monheit Family Trust U/A Dtd 7/16/2002.
- F31/12th of the total number of options granted vested and became exercisable each month after the September 15, 2008 date of grant.
- F41/12th of the total number of options granted vested and became exercisable each month after the September 18, 2006 date of grant.