Filing Details

Accession Number:
0001104659-14-068335
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-09-25 18:25:29
Reporting Period:
2014-09-23
Filing Date:
2014-09-25
Accepted Time:
2014-09-25 18:25:29
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1563407 Smart & Final Stores Inc. SFS Retail-Grocery Stores (5411) 800862253
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1613932 G. David Hirz 600 Citadel Drive
Commerce CA 90040
President & Ceo Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, Par Value $0.001 Acquisiton 2014-09-23 25,000 $12.00 25,000 No 4 P Direct
Common Stock, Par Value $0.001 Acquisiton 2014-09-23 1,400 $12.00 1,400 No 4 P Indirect By Daughter
Common Stock, Par Value $0.001 Acquisiton 2014-09-23 1,400 $12.00 1,400 No 4 P Indirect By Daughter
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Indirect By Daughter
No 4 P Indirect By Daughter
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (right to buy) (2) Acquisiton 2014-09-23 555,556 $0.00 555,556 $12.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
555,556 2024-09-23 No 4 A Direct
Footnotes
  1. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
  2. The option vests as follows: 10% on each of September 23, 2015 and 2016; 20% on each of September 23, 2017 and 2018; and 40% on September 23, 2019.