SEC Form 4 · accession 0001209191-15-085400
SMITH & WESSON BRANDS, INC. · SWBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael F Golden
Director
Period of report
Dec 11, 2015
Accepted (ET)
Dec 15, 2015 · 5:40 pm EST
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 | Dec 11, 2015 | M | 216,000 | $15.00 | A | 503,073 | D | |
| Common StockF2 | Dec 11, 2015 | S | 215,300 | $22.8904 | D | 287,773 | D | |
| Common StockF3 | Dec 11, 2015 | S | 700 | $23.4143 | D | 287,073 | 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 Options (Right to Buy)F4 | $15.00 | Dec 11, 2015 | M | 216,000 | D | — | Nov 12, 2017 | Common Stock | 216,000 | 0 | D |
Explanation of responses
- F1The shares were sold pursuant to a 10b5-1 Trading Plan dated June 30, 2015.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.40 to $23.39, 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 (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range 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 $23.40 to $23.43, 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 range set forth in this footnote.
- F4One-third of the total number of options granted vested and became exercisable on each of the first, second, and third annual anniversary of the November 12, 2007 date of grant.