0001104659-17-060856.txt : 20171004
0001104659-17-060856.hdr.sgml : 20171004
20171004163023
ACCESSION NUMBER: 0001104659-17-060856
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171002
FILED AS OF DATE: 20171004
DATE AS OF CHANGE: 20171004
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: 171121991
MAIL ADDRESS:
STREET 1: 600 CITADEL DRIVE
CITY: COMMERCE
STATE: CA
ZIP: 90040
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
4
1
a4.xml
4
X0306
4
2017-10-02
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
2017-10-02
4
M
0
19304
2.09
A
40515
D
common stock par value $0.001
2017-10-02
4
S
0
19304
7.59
D
21211
D
Stock Option (right to buy)
2.09
2017-10-02
4
M
0
19304
0
D
2018-01-27
Common Stock
48260
28956
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. 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 prices ranging from $7.40 to $7.85 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 number of shares sold at each separate price within the range set forth above.
The option was granted on January 27, 2011. 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
2017-10-04