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Filing Details

Accession Number:: 0001104659-16-160652
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-12-05 16:30:50
Reporting Period:: 2016-12-01

Filing Date:: 2016-12-05
Accepted Time:: 2016-12-05 16:30:50
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
1613937	R. Scott Drew	Smart &Amp; Final Stores, Inc. 600 Citadel Drive Commerce CA 90040	Evp, Operations	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock, Par Value $0.001	Acquisiton	2016-12-01	11,300	$2.09	35,633	No	4	M	Direct
Common Stock, Par Value $0.001	Disposition	2016-12-01	11,300	$13.46	24,333	No	4	S	Direct
Common Stock, Par Value $0.001	Acquisiton	2016-12-01	11,300	$2.09	35,633	No	4	M	Direct
Common Stock, Par Value $0.001	Disposition	2016-12-01	11,300	$13.37	24,333	No	4	S	Direct
Common Stock, Par Value $0.001	Acquisiton	2016-12-01	11,300	$2.09	35,633	No	4	M	Direct
Common Stock, Par Value $0.001	Disposition	2016-12-01	11,300	$13.34	24,333	No	4	S	Direct
Common Stock, Par Value $0.001	Acquisiton	2016-12-02	11,300	$2.09	35,633	No	4	M	Direct
Common Stock, Par Value $0.001	Disposition	2016-12-02	11,300	$13.20	24,333	No	4	S	Direct
Common Stock, Par Value $0.001	Acquisiton	2016-12-02	11,300	$2.09	35,633	No	4	M	Direct
Common Stock, Par Value $0.001	Disposition	2016-12-02	11,300	$13.18	24,333	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (right to buy)	Acquisiton	2016-12-01	11,300	$0.00	90,140	$2.09
Common Stock	Stock Option (right to buy)	Acquisiton	2016-12-01	11,300	$0.00	78,840	$2.09
Common Stock	Stock Option (right to buy)	Acquisiton	2016-12-01	11,300	$0.00	67,540	$2.09
Common Stock	Stock Option (right to buy)	Acquisiton	2016-12-02	11,300	$0.00	56,240	$2.09
Common Stock	Stock Option (right to buy)	Acquisiton	2016-12-02	11,300	$0.00	44,940	$2.09

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
78,840	2017-04-06	No	4	M	Direct
67,540	2017-04-06	No	4	M	Direct
56,240	2017-04-06	No	4	M	Direct
44,940	2017-04-06	No	4	M	Direct
33,640	2017-04-06	No	4	M	Direct

Footnotes

These shares were acquired pursuant to exercise 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 Mr. Drew on May 23, 2016.
These shares are comprised of shares acquired pursuant to exercises of stock options as described in Footnote 1, and were sold in multiple transactions ranging from $13.35 to $13.70 per share. The price reported reflects the weighted average price. Mr. Drew 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 shares acquired pursuant to exercises of stock options as described in Footnote 1, and were sold in multiple transactions ranging from $13.35 to $13.43 per share. The price reported reflects the weighted average price. Mr. Drew 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 shares acquired pursuant to exercises of stock options as described in Footnote 1, and were sold in multiple transactions ranging from $13.25 to $13.45 per share. The price reported reflects the weighted average price. Mr. Drew 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 shares acquired pursuant to exercises of stock options as described in Footnote 1, and were sold in multiple transactions ranging from $13.15 to $13.35 per share. The price reported reflects the weighted average price. Mr. Drew 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 shares acquired pursuant to exercises of stock options as described in Footnote 1, and were sold in multiple transactions ranging from $13.10 to $13.25 per share. The price reported reflects the weighted average price. Mr. Drew 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 April 6, 2010. A portion of the option was scheduled to vest ratably over four years following the date of grant, and the remainder of the option was scheduled to vest upon achievement by Smart & Final Holdings Corp. of certain performance measures. In connection with the acquisition of Smart & Final Holdings Corp. by Smart & Final Stores, Inc., this option accelerated and vested in accordance with its terms on November 15, 2012.