SEC Form 4 · accession 0001209191-16-148497
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
Nov 4, 2016
Accepted (ET)
Nov 4, 2016 · 6:29 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 | Nov 4, 2016 | M | 54,200 | $3.57 | A | 344,385 | D | |
| Common Stock | Nov 4, 2016 | S | 54,200 | $27.00 | D | 290,185 | 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)F2 | $3.57 | Nov 4, 2016 | M | 54,200 | D | — | Jul 12, 2021 | Common Stock | 54,200 | 0 | D |
Explanation of responses
- F1The shares were sold pursuant to a 10b5-1 Trading Plan dated September 9, 2016, as amended on September 29, 2016.
- F2One-third of the total number of options granted on July 12, 2011 vested and became exercisable on each of the first, second, and third anniversary of the date of grant.