SEC Form 4 · accession 0001209191-16-089109
SMITH & WESSON BRANDS, INC. · SWBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John B Furman
Director
Period of report
Jan 4, 2016
Accepted (ET)
Jan 5, 2016 · 5:35 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 | Jan 4, 2016 | M | 10,000 | $12.88 | A | 66,475 | D | |
| Common Stock | Jan 4, 2016 | S | 10,000 | $23.00 | D | 56,475 | D | |
| Common StockF2 | holding | — | — | — | 16,100 | I | By Trust | |
| Common StockF3 | holding | — | — | — | 1,000 | I | By Limited Partnership |
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)F4 | $12.88 | Jan 4, 2016 | 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 September 18, 2015.
- F2The shares are held by the reporting person's defined benefit pension trust, of which the reporting person is the sole trustee.
- F3The shares are held by K.I.D.S. Properties, LP, of which the reporting person is a shareholder of the general partner.
- F41/12th of the total number of options granted vested and became exercisable each month after the September 18, 2006 date of grant.