SEC Form 4 · accession 0001104659-18-071409
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
Nov 26, 2018
Accepted (ET)
Dec 4, 2018 · 5:15 pm 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 | Nov 26, 2018 | M | 559,500 | $2.51 | A | 1,656,610 | 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) | $2.51 | Nov 26, 2018 | M | 559,500 | D | Nov 15, 2012 | Jan 1, 2019 | Common Stock | 559,500 | 0 | D |
Explanation of responses
- F1These shares were acquired pursuant to exercises of stock options as described in Table II.