0001104659-16-109070.txt : 20160331
0001104659-16-109070.hdr.sgml : 20160331
20160331203128
ACCESSION NUMBER: 0001104659-16-109070
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160329
FILED AS OF DATE: 20160331
DATE AS OF CHANGE: 20160331
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: 161544740
MAIL ADDRESS:
STREET 1: 600 CITADEL DRIVE
CITY: COMMERCE
STATE: CA
ZIP: 90040
4
1
a4.xml
4
X0306
4
2016-03-29
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
2016-03-29
4
M
0
4310
2.09
A
48195
D
common stock, par value $0.001
2016-03-29
4
S
0
4310
16.2500
D
43885
D
common stock, par value $0.001
2016-03-30
4
M
0
25697
2.09
A
69582
D
common stock, par value $0.001
2016-03-30
4
S
0
25697
16.2500
D
43885
D
common stock, par value $0.001
2016-03-30
4
M
0
11160
2.09
A
55045
D
common stock, par value $0.001
2016-03-30
4
S
0
6532
16.2500
D
48513
D
common stock, par value $0.001
2016-03-30
4
M
0
6819
2.09
A
55332
D
common stock, par value $0.001
2016-03-30
4
S
0
6819
16.2500
D
48513
D
Stock Option (right to buy) (4)
2.09
2016-03-29
4
M
0
4310
0
A
2017-06-04
common stock
1011640
1007330
D
Stock Option (right to buy) (4)
2.09
2016-03-30
4
M
0
25697
0
A
2017-06-04
common stock
1007330
981633
D
Stock Option (right to buy) (4)
2.09
2016-03-30
4
M
0
11160
0
A
2017-06-04
common stock
981633
970473
D
Stock Option (right to buy) (4)
2.09
2016-03-30
4
M
0
6819
0
A
2017-06-04
common stock
970473
963654
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 Mr. Hirz on December 11, 2015.
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 a single price point of 16.25 per share. 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 shares sold.
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/ Richard N. Phegley, by power of attorney
2016-03-31