0001104659-16-158923.txt : 20161123 0001104659-16-158923.hdr.sgml : 20161123 20161123163045 ACCESSION NUMBER: 0001104659-16-158923 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161121 FILED AS OF DATE: 20161123 DATE AS OF CHANGE: 20161123 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Smart & Final Stores, Inc. CENTRAL INDEX KEY: 0001563407 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-GROCERY STORES [5411] IRS NUMBER: 800862253 STATE OF INCORPORATION: CA FISCAL YEAR END: 1228 BUSINESS ADDRESS: STREET 1: 600 CITADEL DRIVE CITY: COMMERCE STATE: CA ZIP: 90040 BUSINESS PHONE: 323.869.7500 MAIL ADDRESS: STREET 1: 600 CITADEL DRIVE CITY: COMMERCE STATE: CA ZIP: 90040 FORMER COMPANY: FORMER CONFORMED NAME: Smart & Final Stores DATE OF NAME CHANGE: 20140616 FORMER COMPANY: FORMER CONFORMED NAME: SF CC Holdings, Inc. DATE OF NAME CHANGE: 20121130 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hirz David G. CENTRAL INDEX KEY: 0001613932 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36626 FILM NUMBER: 162016978 MAIL ADDRESS: STREET 1: 600 CITADEL DRIVE CITY: COMMERCE STATE: CA ZIP: 90040 4 1 a4.xml 4 X0306 4 2016-11-21 0 0001563407 Smart & Final Stores, Inc. SFS 0001613932 Hirz David G. 600 CITADEL DRIVE COMMERCE CA 90040 1 1 0 0 President & CEO common stock, par value $0.001 2016-11-21 4 M 0 52857 2.09 A 223305 D common stock, par value $0.001 2016-11-21 4 S 0 31613 13.51 D 191692 D common stock, par value $0.001 2016-11-21 4 M 0 36527 2.09 A 228219 D common stock, par value $0.001 2016-11-21 4 S 0 36527 13.52 D 191692 D common stock, par value $0.001 2016-11-22 4 M 0 43013 2.09 A 234705 D common stock, par value $0.001 2016-11-22 4 S 0 43013 13.41 D 191692 D Stock Option (right to buy) 2.09 2016-11-21 4 M 0 52857 0 A 2017-04-06 common stock 661987 609130 D Stock Option (right to buy) 2.09 2016-11-21 4 M 0 36527 0 A 2017-04-06 common stock 609130 572603 D Stock Option (right to buy) 2.09 2016-11-22 4 M 0 43013 0 A 2017-04-06 common stock 572603 529590 D These shares were acquired pursuant to exercises of stock options as described in Table II. The sales reported in this Form 4 were affected pursuant to a Rule 10b5-1 sales plan adopted by Mr. Hirz on August 10, 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 at prices ranging from $13.48 to $13.70 per share. The price reported reflects the weighted average price. Mr. Hirz 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 at prices ranging from $13.45 to $13.65 per share. The price reported reflects the weighted average price. Mr. Hirz 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 at prices ranging from $13.15 to $13.85 per share. The price reported reflects the weighted average price. Mr. Hirz 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. /s/ Leland P. Smith, by power of attorney 2016-11-23