SEC Form 4 · accession 0001104659-15-030159
Smart & Final Stores, Inc. · SFS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
ARES MANAGEMENT LP
10% Owner
ARES MANAGEMENT LLC
10% Owner
ACOF Operating Manager III LLC
10% Owner
Ares Management Holdings L.P.
10% Owner
Ares Partners Holdco LLC
10% Owner
Ares Management GP LLC
10% Owner
ACOF Operating Manager IV, LLC
10% Owner
Ares Holdings Inc.
10% Owner
Period of report
Apr 24, 2015
Accepted (ET)
Apr 24, 2015 · 4:30 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001563407
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| common stock, par value $0.001F1,F2,F3,F4,F5 | Apr 24, 2015 | S | 898,450 | $18.50 | D | 44,218,762 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The amount reported reflects 449,225 shares owned of record by Ares Corporate Opportunities Fund III, L.P. ("ACOF III") and 449,225 shares owned of record by Ares Corporate Opportunities Fund IV, L.P. ("ACOF IV").
- F2The amount reported reflects 22,109,381 shares owned of record by ACOF III and 22,109,381 shares owned of record by ACOF IV.
- F3The manager of ACOF III is ACOF Operating Manager III, LLC ("ACOF Operating Manager III"), and the sole member of ACOF Operating Manager III is Ares Management LLC ("Ares Management LLC"). The manager of ACOF IV is ACOF Operating Manager IV, LLC ("ACOF Operating Manager IV"), and the sole member of ACOF Operating Manager IV is Ares Management LLC. (Continued in footnote 4)
- F4The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management, L.P. ("Ares Management"). The general partner of Ares Management is Ares Management GP LLC ("Ares Management GP") and the sole member of Ares Management GP is Ares Partners Holdco LLC ("Ares Partners," and together with ACOF III, ACOF IV, ACOF Operating Manager III, ACOF Operating Manager IV, Ares Management LLC, Ares Management Holdings, Ares Holdings, Ares Management, and Ares Management GP, the "Ares Entities"). Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, David Kaplan, John Kissick, Antony Ressler and Bennett Rosenthal. (Continued in footnote 5)
- F5Decisions by Ares Partners' board of managers generally are made by a majority of the members, which majority, subject to certain conditions, must include Antony Ressler. Each of the Ares Entities (other than each of ACOF III and ACOF IV with respect to the shares held directly by it) and the members of Ares Partners' board of managers and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067.