SEC Form 4 · accession 0001104659-16-109070

Smart & Final Stores, Inc. · SFS

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

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

Officer — President & CEO · Director

Period of report

Mar 29, 2016

Accepted (ET)

Mar 31, 2016 · 8:31 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
common stock, par value $0.001^F1	Mar 29, 2016	M	4,310	$2.09	A	48,195	D
common stock, par value $0.001^F2,F3	Mar 29, 2016	S	4,310	$16.25	D	43,885	D
common stock, par value $0.001^F1	Mar 30, 2016	M	25,697	$2.09	A	69,582	D
common stock, par value $0.001^F2,F3	Mar 30, 2016	S	25,697	$16.25	D	43,885	D
common stock, par value $0.001^F1	Mar 30, 2016	M	11,160	$2.09	A	55,045	D
common stock, par value $0.001^F2,F3	Mar 30, 2016	S	6,532	$16.25	D	48,513	D
common stock, par value $0.001^F1	Mar 30, 2016	M	6,819	$2.09	A	55,332	D
common stock, par value $0.001^F2,F3	Mar 30, 2016	S	6,819	$16.25	D	48,513	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (right to buy) (4)^F4	$2.09	Mar 29, 2016	M	4,310	A	—	Jun 4, 2017	common stock	1,011,640	1,007,330	D
Stock Option (right to buy) (4)^F4	$2.09	Mar 30, 2016	M	25,697	A	—	Jun 4, 2017	common stock	1,007,330	981,633	D
Stock Option (right to buy) (4)^F4	$2.09	Mar 30, 2016	M	11,160	A	—	Jun 4, 2017	common stock	981,633	970,473	D
Stock Option (right to buy) (4)^F4	$2.09	Mar 30, 2016	M	6,819	A	—	Jun 4, 2017	common stock	970,473	963,654	D

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 Mr. Hirz on December 11, 2015.
F3These shares are comprised of shares acquired pursuant to exercises of stock options as described in Footnote 1, and were sold in multiple transactions at a single price point of 16.25 per share. Mr. Hirz 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 shares sold.
F4The option was granted on April 6, 2010. A portion of the option was scheduled to vest ratably over four years following the date of grant, and the remainder of the option was scheduled to vest upon achievement by Smart & Final Holdings Corp. of certain performance measures. In connection with the acquisition of Smart & Final Holdings Corp. by Smart & Final Stores, Inc., this option accelerated and vested in accordance with its terms on November 15, 2012.