SEC Form 4 · accession 0001209191-16-109536
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
Mar 18, 2016
Accepted (ET)
Mar 18, 2016 · 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 | Mar 18, 2016 | M | 42,000 | $5.55 | A | 329,073 | D | |
| Common Stock | Mar 18, 2016 | M | 54,200 | $3.92 | A | 383,273 | D | |
| Common StockF2 | Mar 18, 2016 | S | 88,084 | $29.8841 | D | 295,189 | D | |
| Common StockF3 | Mar 18, 2016 | S | 8,116 | $30.3483 | 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 Option (Right to Buy)F4 | $5.55 | Mar 18, 2016 | M | 42,000 | D | — | Sep 18, 2019 | Common Stock | 42,000 | 0 | D |
| Employee Stock Option (Right to Buy)F5 | $3.92 | Mar 18, 2016 | M | 54,200 | D | — | Aug 2, 2020 | Common Stock | 54,200 | 0 | D |
Explanation of responses
- F1The shares were sold pursuant to a 10b5-1 Trading Plan dated March 11, 2016.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.30 to $30.27, 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 $30.30 to $30.41, 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 anniversary of the September 18, 2009 date of grant.
- F5One-third of the total number of options granted vested and became exercisable on each of the first, second, and third anniversary of the August 2, 2010 date of grant.