Filing Details
- Accession Number:
- 0001209191-15-085387
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-12-15 17:36:11
- Reporting Period:
- 2015-12-11
- Filing Date:
- 2015-12-15
- Accepted Time:
- 2015-12-15 17:36:11
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1092796 | Smith & Wesson Holding Corp | SWHC | Ordnance & Accessories, (No Vehicles/Guided Missiles) (3480) | 870543688 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1247555 | D Jeffrey Buchanan | 2100 Roosevelt Avenue Springfield MA 01104 | See Remarks | 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 | Acquisiton | 2015-12-11 | 5,000 | $12.88 | 106,574 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-12-11 | 5,000 | $4.44 | 111,574 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-12-11 | 5,000 | $5.79 | 116,574 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-12-11 | 5,000 | $3.69 | 121,574 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-12-11 | 20,000 | $22.86 | 101,574 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-12-11 | 3,000 | $22.74 | 98,574 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2015-12-11 | 50,000 | $3.73 | 148,574 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-12-11 | 17,806 | $3.57 | 166,380 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-12-11 | 67,406 | $22.88 | 98,974 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-12-11 | 400 | $23.41 | 98,574 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2015-12-11 | 21,601 | $7.98 | 120,175 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-12-11 | 21,601 | $23.05 | 98,574 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2015-12-15 | 6,274 | $3.73 | 104,848 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-12-15 | 6,274 | $23.95 | 98,574 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Director Stock Option (Right to Buy) | Disposition | 2015-12-11 | 5,000 | $0.00 | 5,000 | $12.88 |
| Common Stock | Director Stock Option (Right to Buy) | Disposition | 2015-12-11 | 5,000 | $0.00 | 5,000 | $4.44 |
| Common Stock | Director Stock Option (Right to Buy) | Disposition | 2015-12-11 | 5,000 | $0.00 | 5,000 | $5.79 |
| Common Stock | Director Stock Option (Right to Buy) | Disposition | 2015-12-11 | 5,000 | $0.00 | 5,000 | $3.69 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2015-12-11 | 50,000 | $0.00 | 50,000 | $3.73 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2015-12-11 | 17,806 | $0.00 | 17,806 | $3.57 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2015-12-11 | 21,601 | $0.00 | 21,601 | $7.98 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2015-12-15 | 6,274 | $0.00 | 6,274 | $3.73 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2016-09-18 | No | 4 | M | Direct | |
| 0 | 2018-09-15 | No | 4 | M | Direct | |
| 0 | 2019-09-14 | No | 4 | M | Direct | |
| 0 | 2020-09-27 | No | 4 | M | Direct | |
| 50,000 | 2021-01-03 | No | 4 | M | Direct | |
| 0 | 2021-07-12 | No | 4 | M | Direct | |
| 0 | 2022-04-24 | No | 4 | M | Direct | |
| 43,726 | 2021-01-03 | No | 4 | M | Direct |
Footnotes
- Includes 1,129 shares acquired under the Issuer's Employee Stock Purchase Plan on September 30, 2015.
- The shares were sold pursuant to a 10b5-1 Trading Plan dated September 24, 2015.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.40 to $23.30, inclusive. The reporting person undertakes to provide to Smith & Wesson Holding Corporation (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.46 to $23.00, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.40 to $23.39, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.40 to $23.42, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.95 to $23.17, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- 1/12th of the total number of options granted vested and became exercisable each month after the September 18, 2006 date of grant.
- 1/12th of the total number of options granted vested and became exercisable each month after the September 15, 2008 date of grant.
- 1/12th of the total number of options granted vested and became exercisable each month after the September 14, 2009 date of grant.
- 1/12th of the total number of options granted vested and became exercisable each month after the September 27, 2010 date of grant.
- One-third of the total number of options granted vested and became exercisable on each of the first, second, and third anniversary of the January 3, 2011 date of grant.
- One-third of the total number of options granted vested and became exercisable on each of the first, second, and third anniversary of the July 12, 2011 date of grant.
- One-third of the total number of options granted vested and became exercisable on each of the first, second, and third anniversary of the April 24, 2012 date of grant.
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