SEC Form 4 · accession 0001209191-15-075107
SMITH & WESSON BRANDS, INC. · SWBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J. Cicero
Officer — See Remarks
Period of report
Oct 8, 2015
Accepted (ET)
Oct 9, 2015 · 5:35 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 | Oct 8, 2015 | M | 14,000 | $7.98 | A | 71,657 | D | |
| Common StockF2 | Oct 8, 2015 | S | 17,710 | $17.6692 | D | 53,947 | 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)F3 | $7.98 | Oct 8, 2015 | M | 14,000 | D | — | Apr 24, 2022 | Common Stock | 14,000 | 0 | D |
Explanation of responses
- F1The shares were sold pursuant to a 10b5-1 Trading Plan dated September 3, 2015.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.50 to $17.86, 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 range set forth in this footnote.
- F3One-third of the total number of options granted vested and became exercisable on each of the first, second, and third anniversary of the April 24, 2012 date of grant until fully vested on April 24, 2015.
Remarks
The Reporting Person is the Vice President, General Counsel, Chief Compliance Officer, and Secretary.