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