SEC Form 4 · accession 0001209191-16-110267
SMITH & WESSON BRANDS, INC. · SWBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert L Scott
Director
Period of report
Mar 21, 2016
Accepted (ET)
Mar 23, 2016 · 6:20 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 21, 2016 | M | 10,000 | $12.88 | A | 74,336 | D | |
| Common StockF2 | Mar 21, 2016 | S | 10,000 | $28.866 | D | 64,336 | D |
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)F3 | $12.88 | Mar 21, 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 March 10, 2016.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.63 to $29.16, 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.
- F31/12th of the total number of options granted vested and became exercisable each month after the September 18, 2006 date of grant.