SEC Form 4 · accession 0001104659-16-119814
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
Mar 3, 2016
Accepted (ET)
May 10, 2016 · 5:49 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 | Mar 3, 2016 | F | 4,450 | $16.27 | D | 50,926 | D | |
| common stock, par value $0.001F2 | May 6, 2016 | A | 9,584 | $0.00 | A | 60,510 | 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)F3 | $15.65 | May 6, 2016 | A | 23,961 | A | — | May 6, 2026 | Common Stock | 23,961 | 23,961 | D |
Explanation of responses
- F1Represents shares of common stock withheld to satisfy applicable tax withholding obligations.
- F2Represents a grant of restricted stock.
- F3The option was granted effective May 6, 2016 and vests in four installments as follows: 5,990 shares on April 21, 2017, 5,991 shares on April 21, 2018 and 5,990 shares each on April 21, 2019 and April 21, 2020.
Remarks
Exhibit 24 - Power of Attorney