0001104659-18-066344.txt : 20181106 0001104659-18-066344.hdr.sgml : 20181106 20181106163039 ACCESSION NUMBER: 0001104659-18-066344 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181102 FILED AS OF DATE: 20181106 DATE AS OF CHANGE: 20181106 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: 181163404 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: 1230 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 2018-11-02 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 2018-11-02 4 M 0 21977 2.52 A 76707 D common stock par value $0.001 2018-11-02 4 S 0 21977 5.14 D 54730 D Stock Option (right to buy) 2.52 2018-11-02 4 M 0 21977 0 D 2012-11-15 2019-02-27 Common Stock 21977 21977 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 May 17, 2018. . 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 $5.07 to $5.19 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 price reported reflects the weighted average price. /s/ Leland P. Smith, by power of attorney 2018-11-06