SEC Form 4 · accession 0001104659-15-086814
Smart & Final Stores, Inc. · SFS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eleanor Hong
Officer — Senior VP and CMO
Period of report
Dec 23, 2015
Accepted (ET)
Dec 28, 2015 · 8:02 am EST
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 | Dec 23, 2015 | M | 11,441 | $12.00 | A | 72,004 | D | |
| common stock, par value $0.001F2,F3 | Dec 23, 2015 | S | 16,628 | $18.0004 | D | 55,376 | D | |
| Common stock par value $0.001F1 | Dec 24, 2015 | M | 1,787 | $12.00 | A | 57,163 | D | |
| Common stock par value $0.001F2,F4 | Dec 24, 2015 | S | 1,787 | $18.0017 | D | 55,376 | 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)F5 | $12.00 | Dec 23, 2015 | M | 3,977 | D | — | Sep 23, 2024 | common stock | 79,167 | 75,190 | D |
| Stock Option (right to buy)F6 | $12.00 | Dec 23, 2015 | M | 3,466 | D | — | Sep 23, 2024 | common stock | 65,867 | 62,401 | D |
| Stock Option (right to buy)F6 | $12.00 | Dec 23, 2015 | M | 3,998 | D | — | Sep 23, 2024 | common stock | 106,322 | 102,324 | D |
| Stock Option(right to buy)F5 | $12.00 | Dec 24, 2015 | M | 189 | D | — | Sep 23, 2024 | Common stock | 75,190 | 75,001 | D |
| Stock Option(right to buy)F6 | $12.00 | Dec 24, 2015 | M | 1,598 | D | — | Sep 23, 2024 | Common stock | 102,324 | 100,726 | D |
Explanation of responses
- F1These shares were acquired pursuant to exercises of stock options as described in Table II.
- F2The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 sales plan adopted by Ms. Hong on November 19, 2015.
- F3These shares are comprised of 11,441 shares acquired pursuant to exercises of stock options as described in Footnote 1 and 5,187 shares previously reported shares held directly by Ms. Hong, and were sold in multiple transactions at prices ranging from $18.00 to $18.02 per share. The price reported reflects the weighted average price. Ms. Hong undertakes to provide the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
- F4These shares are comprised of 1,787 shares acquired pursuant to exercises of stock options as described in Footnote 1, and were sold in multiple transactions at prices ranging from $18.00 to $18.03 per share. The price reported reflects the weighted average price. Ms. Hong undertakes to provide the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
- F5The option was granted on September 23, 2014 and vests in five equal installments on September 23, 2015, 2016, 2017, 2018 and 2019.
- F6The option was granted on September 23, 2014 and vests in five equal installments on March 3, 2015, 2016, 2017, 2018 and 2019.