SEC Form 4 · accession 0001209191-15-087003
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
Dec 23, 2015
Accepted (ET)
Dec 24, 2015 · 1:02 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 23, 2015 | M | 10,000 | $5.79 | A | 16,802 | D | |
| Common StockF2 | Dec 23, 2015 | S | 10,000 | $22.0155 | D | 6,802 | D | |
| Common StockF2,F3,F4 | Dec 23, 2015 | S | 20,000 | $22.0171 | D | 59,334 | 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)F5 | $5.79 | Dec 23, 2015 | M | 10,000 | D | — | Sep 14, 2019 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1The shares were sold pursuant to a 10b5-1 Trading Plan dated December 16, 2015.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.77 to $22.30, 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.
- F3Includes 12,534 shares previously reported as being held directly by the reporting person.
- F4The shares are held by Barry M. Monheit, Trustee, SEP PROP Monheit Family Trust U/A Dtd 7/16/2002.
- F51/12th of the total number of options granted vested and became exercisable each month after the September 14, 2009 date of grant.