SEC Form 4 · accession 0001104659-15-054402
Smart & Final Stores, Inc. · SFS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott R. Drew
Officer — EVP, Operations, Smart & Final
Period of report
Jul 27, 2015
Accepted (ET)
Jul 29, 2015 · 5:15 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 | Jul 27, 2015 | A | 6,127 | $0.00 | A | 9,127 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $16.32 | Jul 27, 2015 | A | 15,000 | A | — | Jul 27, 2025 | common stock | 15,000 | 15,000 | D |
Explanation of responses
- F1Represents a grant of restricted stock. The restrictions with respect to 2,042 shares of the restricted stock lapse on July 27, 2016, the restrictions with respect to 2,043 shares of the restricted stock lapse on July 27, 2017 and the restrictions with respect to 2,042 shares of the restricted stock lapse on July 27, 2018.
- F2The option vests in four equal installments on July 27, 2016, 2017, 2018 and 2019.