Filing Details
- Accession Number:
- 0001104659-15-086608
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-12-23 17:00:22
- Reporting Period:
- 2015-12-21
- Filing Date:
- 2015-12-23
- Accepted Time:
- 2015-12-23 17:00:22
- 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 |
|---|---|---|---|---|---|---|---|
| 1613934 | Eleanor Hong | 600 Citadel Drive Commerce CA 90040 | Senior Vp And Cmo | 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 | 2015-12-21 | 7,397 | $12.00 | 73,147 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.001 | Disposition | 2015-12-21 | 12,584 | $17.48 | 60,563 | No | 4 | S | Direct | |
| Common Stock Par Value $0.001 | Acquisiton | 2015-12-22 | 5,830 | $12.00 | 66,393 | No | 4 | M | Direct | |
| Common Stock Par Value $0.001 | Disposition | 2015-12-22 | 5,830 | $17.67 | 60,563 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | Stock Option (right to buy) | Disposition | 2015-12-21 | 2,455 | $0.00 | 83,333 | $12.00 |
| Common Stock | Stock Option (right to buy) | Disposition | 2015-12-21 | 2,450 | $0.00 | 111,917 | $12.00 |
| Common Stock | Stock Option (right to buy) | Disposition | 2015-12-21 | 2,492 | $0.00 | 69,333 | $12.00 |
| Common Stock | Stock Option (right to buy) | Disposition | 2015-12-22 | 1,711 | $0.00 | 80,878 | $12.00 |
| Common Stock | Stock Option (right to buy) | Disposition | 2015-12-22 | 1,016 | $0.00 | 109,467 | $12.00 |
| Common Stock | Stock Option (right to buy) | Disposition | 2015-12-22 | 3,103 | $0.00 | 66,841 | $12.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 80,878 | 2024-09-23 | No | 4 | M | Direct | |
| 109,467 | 2024-09-23 | No | 4 | M | Direct | |
| 66,841 | 2024-09-23 | No | 4 | M | Direct | |
| 79,167 | 2024-09-23 | No | 4 | M | Direct | |
| 108,451 | 2024-09-23 | No | 4 | M | Direct | |
| 63,738 | 2024-09-23 | No | 4 | M | Direct |
Footnotes
- These shares were acquired pursuant to exercises of stock options as described in Table II.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 sales plan adopted by Ms. Hong on November 19, 2015.
- These shares are comprised of 7,397 shares acquired pursuant to exercises of stock options as described in Footnote 1 and 5,187 shares previously reported shares held directly by Ms. Hong, and were sold in multiple transactions at prices ranging from $17.31 to $17.64 per share. The price reported reflects the weighted average price. Ms. Hong undertakes to provide the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
- These shares are comprised of 5,830 shares acquired pursuant to exercises of stock options as described in Footnote 1, and were sold in multiple transactions at prices ranging from $17.52 to $17.94 per share. The price reported reflects the weighted average price. Ms. Hong undertakes to provide the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
- The option was granted on September 23, 2014 and vests in five equal installments on September 23, 2015, 2016, 2017, 2018 and 2019.
- The option was granted on September 23, 2014 and vests in five equal installments on March 3, 2015, 2016, 2017, 2018 and 2019.
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