SEC Form 4 · accession 0001104659-18-024869
Smart & Final Stores, Inc. · SFS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David G. Hirz
Officer — President & CEO · Director
Period of report
Apr 16, 2018
Accepted (ET)
Apr 18, 2018 · 4:31 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| common stock, par value $0.001F1 | Apr 16, 2018 | M | 200,000 | $2.51 | A | 577,918 | 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)F2 | $2.51 | Apr 16, 2018 | M | 200,000 | D | — | Jan 1, 2019 | Common Stock | 959,500 | 759,500 | D |
Explanation of responses
- F1These shares were acquired pursuant to exercises of stock options as described in Table II.
- F2The option was granted on January 1, 2012. 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.