Filing Details
- Accession Number:
- 0001104659-14-068340
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-09-25 18:26:43
- Reporting Period:
- 2014-09-23
- Filing Date:
- 2014-09-25
- Accepted Time:
- 2014-09-25 18:26:43
- 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 |
|---|---|---|---|---|---|---|---|
| 1216466 | D Jeffrey Whynot | 600 Citadel Drive Commerce CA 90040 | Svp, Human Resources | No | 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 | 7,500 | $12.00 | 131,000 | No | 4 | P | Direct | |
| Common Stock, Par Value $0.001 | Acquisiton | 2014-09-23 | 2,300 | $12.00 | 2,300 | No | 4 | P | Indirect | By Son |
| Common Stock, Par Value $0.001 | Acquisiton | 2014-09-23 | 1,700 | $12.00 | 1,700 | 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 Son |
| 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) | Acquisiton | 2014-09-23 | 55,556 | $0.00 | 55,556 | $12.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 55,556 | 2024-09-23 | No | 4 | A | Direct |
Footnotes
- 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.
- The option vests in five equal installments on September 23, 2015, 2016, 2017, 2018 and 2019.
Billionaire Hedge Funds
