0001104659-15-086814.txt : 20151228 0001104659-15-086814.hdr.sgml : 20151225 20151228080213 ACCESSION NUMBER: 0001104659-15-086814 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151223 FILED AS OF DATE: 20151228 DATE AS OF CHANGE: 20151228 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: Hong Eleanor CENTRAL INDEX KEY: 0001613934 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36626 FILM NUMBER: 151307973 MAIL ADDRESS: STREET 1: 600 CITADEL DRIVE CITY: COMMERCE STATE: CA ZIP: 90040 4 1 a4.xml 4 X0306 4 2015-12-23 0 0001563407 Smart & Final Stores, Inc. SFS 0001613934 Hong Eleanor 600 CITADEL DRIVE COMMERCE CA 90040 0 1 0 0 Senior VP and CMO common stock, par value $0.001 2015-12-23 4 M 0 11441 12.00 A 72004 D common stock, par value $0.001 2015-12-23 4 S 0 16628 18.0004 D 55376 D Common stock par value $0.001 2015-12-24 4 M 0 1787 12.00 A 57163 D Common stock par value $0.001 2015-12-24 4 S 0 1787 18.0017 D 55376 D Stock Option (right to buy) 12.00 2015-12-23 4 M 0 3977 0 D 2024-09-23 common stock 79167 75190 D Stock Option (right to buy) 12.00 2015-12-23 4 M 0 3466 0 D 2024-09-23 common stock 65867 62401 D Stock Option (right to buy) 12.00 2015-12-23 4 M 0 3998 0 D 2024-09-23 common stock 106322 102324 D Stock Option(right to buy) 12.00 2015-12-24 4 M 0 189 0 D 2024-09-23 Common stock 75190 75001 D Stock Option(right to buy) 12.00 2015-12-24 4 M 0 1598 0 D 2024-09-23 Common stock 102324 100726 D 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 11,441 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 $18.00 to $18.02 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 1,787 shares acquired pursuant to exercises of stock options as described in Footnote 1, and were sold in multiple transactions at prices ranging from $18.00 to $18.03 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. /s/ Richard N. Phegley, by power of attorney 2015-12-28