0001104659-17-008611.txt : 20170213
0001104659-17-008611.hdr.sgml : 20170213
20170213163112
ACCESSION NUMBER: 0001104659-17-008611
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170209
FILED AS OF DATE: 20170213
DATE AS OF CHANGE: 20170213
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: 0103
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: Mortensen Michael A.
CENTRAL INDEX KEY: 0001613936
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36626
FILM NUMBER: 17599626
MAIL ADDRESS:
STREET 1: 600 CITADEL DRIVE
CITY: COMMERCE
STATE: CA
ZIP: 90040
4
1
a4.xml
4
X0306
4
2017-02-09
0
0001563407
Smart & Final Stores, Inc.
SFS
0001613936
Mortensen Michael A.
600 CITADEL DRIVE
COMMERCE
CA
90040
0
1
0
0
SVP Sales & Merchandising
common stock, par value $0.001
2017-02-09
4
M
0
26980
2.09
A
36564
D
common stock, par value $0.001
2017-02-09
4
S
0
26980
14.95
D
9584
D
Stock Option (right to buy)
2.09
2017-02-09
4
M
0
26980
0
D
2017-07-30
Common Stock
188860
161880
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. Mortensen on September 13, 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 a single price point of $14.95 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 shares sold.
The option was granted on July 30, 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.
/s/ Leland P. Smith, by power of attorney
2017-02-13