SEC Form 3 · accession 0001209191-19-018506

SMITH & WESSON BRANDS, INC. · SWBI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — President, Firearm Division

Period of report

Mar 1, 2019

Accepted (ET)

Mar 11, 2019 · 5:08 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^F1	holding	—	—		—	33,664	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Performance Rights (Performance Stock Units or PSUs)^F2	—	holding	—	—	—	—	May 1, 2021	Common Stock	9,800	—	D
Performance Rights (Performance Stock Units or PSUs)^F2	—	holding	—	—	—	—	May 1, 2022	Common Stock	28,800	—	D

F1Includes (i) 17,500 shares underlying restricted stock units ("RSUs"), 25% of which vested or shall vest on each of the first, second, third, and fourth anniversaries of the 8/26/2016 date of grant; (ii) 4,400 shares underlying RSUs, 25% of which vested or shall vest on each of the first, second, third, and fourth anniversaries of the 4/27/2017 date of grant; and (iii) 13,000 shares underlying RSUs, 25% of which shall vest on each of the first, second, third, and fourth anniversaries of the 4/26/2018 date of grant. 1,729 of the shares underlying vested RSUs were previously withheld by the Issuer to satisfy certain tax withholding obligations associated with the vesting of RSUs.
F2Each performance right represents a contingent right to receive one share of the Issuer's common stock. The performance rights vest based on stock performance over a three-year performance period, and shares, net of tax withholding, will be delivered on the first anniversary of the vesting date. The number represents the maximum number of shares that may be delivered pursuant to the award, which is two times the target number of shares.

Exhibit List Exhibit 24 - Limited Power of Attorney