SEC Form 4/A · accession 0001104659-16-109683
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
David G. Hirz
Officer — President & CEO · Director
Period of report
Mar 29, 2016
Accepted (ET)
Apr 4, 2016 · 9:33 pm EDT
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) (1)F1,F2 | $2.09 | Mar 29, 2016 | M | 4,310 | A | — | Apr 6, 2017 | common stock | 1,011,640 | 1,007,330 | D |
| Stock Option (right to buy) (1)F1,F2 | $2.09 | Mar 30, 2016 | M | 25,697 | A | — | Apr 6, 2017 | common stock | 1,007,330 | 981,633 | D |
| Stock Option (right to buy) (1)F1,F2 | $2.09 | Mar 30, 2016 | M | 11,160 | A | — | Apr 6, 2017 | common stock | 981,633 | 970,473 | D |
| Stock Option (right to buy) (1)F1,F2 | $2.09 | Mar 30, 2016 | M | 6,819 | A | — | Apr 6, 2017 | common stock | 970,473 | 963,654 | D |
Explanation of responses
- F1The 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.
- F2Due to an administrative error, the Form 4 filed on March 31, 2016 transposed the month and day of the expiration date of each stock option. This amended Form 4 now contains the correct expiration date.