Filing Details

Accession Number:
0001104659-17-066047
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-11-03 16:30:31
Reporting Period:
2017-11-01
Accepted Time:
2017-11-03 16:30:31
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
1613936 A. Michael Mortensen 600 Citadel Drive
Commerce CA 90040
Svp Sales & Merchandising 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 2017-11-01 19,304 $2.09 40,515 No 4 M Direct
Common Stock Par Value $0.001 Disposition 2017-11-01 19,304 $6.11 21,211 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 2017-11-01 19,304 $0.00 28,956 $2.09
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
9,652 2018-01-27 No 4 M Direct
Footnotes
  1. These shares were acquired pursuant to exercises of stock options as described in Table II.
  2. The sales reported in this Form 4 were affected pursuant to a Rule 10b5-1 sales plan adopted by Mr. Mortensen on September 13, 2016.
  3. These shares are comprised of shares acquired pursuant to exercises of stock options as described in Footnote 1, and were sold in multiple transactions at prices ranging from $5.95 to $6.18 per share. Mr. Mortensen 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.
  4. The option was granted on January 27, 2011. 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.