SMART & FINAL STORES, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 10 rows in 2019. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-06-20: Reporting owner AXELROD NORMAN; Form 4; Security Stock option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2019-06-20: Reporting owner Smith Eugene M.; Form 4; Security Stock option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2019-06-20: Reporting owner Smith Eugene M.; Form 4; Security Stock option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2019-06-20: Reporting owner Hirz David G.; Form 4; Security Stock option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-06-20 | AXELROD NORMAN Director | 4 | Stock option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −31,350 0 owned after | $1.23 | 2019-06-20 | |
| 2019-06-20 | Smith Eugene M. Officer (Group VP and Treasurer) | 4 | Stock option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −13,490 0 owned after | $1.23 | 2019-06-20 | |
| 2019-06-20 | Smith Eugene M. Officer (Group VP and Treasurer) | 4 | Stock option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −26,790 0 owned after | $1.23 | 2019-06-20 | |
| 2019-06-20 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −839,610 0 owned after | $1.23 | 2019-06-20 | |
| 2019-06-20 | Drew Scott R. Officer (EVP, Administration) | 4 | Stock option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −109,250 0 owned after | $1.23 | 2019-06-20 | |
| 2019-06-20 | PHEGLEY RICHARD N Officer (Executive Vice President, CFO) | 4 | Stock option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −285,570 0 owned after | $1.23 | 2019-06-20 | |
| 2019-06-20 | LINK RICHARD A Officer (Group VP, Controller, CAO) | 4 | Stock option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −67,260 0 owned after | $1.23 | 2019-06-20 | |
| 2019-06-20 | Giancamilli Andrew A. Director | 4 | Stock option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −31,350 0 owned after | $1.23 | 2019-06-20 | |
| 2019-05-06 | WONG EDWARD Officer (EVP, Chief Merch/Digital Offcr) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,963 12,963 owned after | $6.53 exercise price | 2019-05-08 | |
| 2019-05-06 | Smith Eugene M. Officer (Group VP and Treasurer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,445 12,445 owned after | $6.53 exercise price | 2019-05-08 |