SEC Form 4/A · accession 0001104659-15-086812
Smart & Final Stores, Inc. · SFS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Eleanor Hong
Officer — Senior VP and CMO
Period of report
Dec 21, 2015
Accepted (ET)
Dec 28, 2015 · 8:00 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001563407
Table I — non-derivative securities
No Table I lines on this filing.
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,F1 | $12.00 | Dec 21, 2015 | M | 2,450 | D | — | Sep 23, 2024 | common stock | 69,333 | 66,883 | D |
| Stock Option (right to buy)F2,F1 | $12.00 | Dec 21, 2015 | M | 2,492 | D | — | Sep 23, 2024 | common stock | 111,917 | 109,425 | D |
| Stock Option (right to buy)F2,F1 | $12.00 | Dec 22, 2015 | M | 1,016 | D | — | Sep 23, 2024 | common stock | 66,883 | 65,867 | D |
| Stock Option (right to buy)F2,F1 | $12.00 | Dec 22, 2015 | M | 3,103 | D | — | Sep 23, 2024 | common stock | 109,425 | 106,322 | D |
Explanation of responses
- F1The option was granted on September 23, 2014 and vests in five equal installments on March 3, 2015, 2016, 2017, 2018 and 2019.
- F2Due to an administrative error, the Form 4 filed on December 23, 2015 transposed the number of shares exercised from two separate stock option grants. Each of the underlying grants contains the same grant date, expiration date, and vesting schedule. This amended Form 4 now contains the correct number of shares acquired pursuant to, and remaining after, such exercise.