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: 50 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-09-23: Reporting owner Hong Eleanor; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-09-23: Reporting owner Hong Eleanor; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-09-23: Reporting owner Hong Eleanor; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-09-23: Reporting owner PHEGLEY RICHARD N; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-09-23 | Hong Eleanor Officer (Senior VP and CMO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +83,333 83,333 owned after | $12.00 exercise price | 2014-09-25 | |
| 2014-09-23 | Hong Eleanor Officer (Senior VP and CMO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +111,917 111,917 owned after | $12.00 exercise price | 2014-09-25 | |
| 2014-09-23 | Hong Eleanor Officer (Senior VP and CMO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +69,333 69,333 owned after | $12.00 exercise price | 2014-09-25 | |
| 2014-09-23 | PHEGLEY RICHARD N Officer (Senior VP and CFO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +83,333 83,333 owned after | $12.00 exercise price | 2014-09-25 | |
| 2014-09-23 | PHEGLEY RICHARD N Officer (Senior VP and CFO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +345,362 345,362 owned after | $12.00 exercise price | 2014-09-25 | |
| 2014-09-23 | ALVARADO DONALD G Officer (Senior VP and GC) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,519 18,519 owned after | $12.00 exercise price | 2014-09-25 | |
| 2014-09-23 | Drew Scott R. Officer (SVP, Store Ops, Smart & Final) | 4 | Stock Option (right to buy) (1) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +83,333 83,333 owned after | $12.00 exercise price | 2014-09-25 | |
| 2014-09-23 | LADDON MICHAEL M Officer (Senior VP and CIO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +83,333 83,333 owned after | $12.00 exercise price | 2014-09-25 | |
| 2014-09-23 | Mortensen Michael A. Officer (SVP Sls & Mrch Smart & Final) | 4 | Stock Option (right to buy) (1) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +83,333 83,333 owned after | $12.00 exercise price | 2014-09-25 | |
| 2014-09-23 | Trtek Martin J. Officer (President, Cash & Carry) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +83,333 83,333 owned after | $12.00 exercise price | 2014-09-25 | |
| 2014-09-23 | WHYNOT JEFFREY D Officer (SVP, Human Resources) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +55,556 55,556 owned after | $12.00 exercise price | 2014-09-25 | |
| 2014-09-23 | Smith Eugene M. Officer (VP and Treasurer) | 4 | Stock Option (right to buy) (1) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,111 11,111 owned after | $12.00 exercise price | 2014-09-25 | |
| 2014-09-23 | LINK RICHARD A Officer (Group VP, Controller, CAO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +23,148 23,148 owned after | $12.00 exercise price | 2014-09-25 | |
| 2014-09-23 | Tesoriero Joseph S. Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,500 25,500 owned after | $12.00 exercise price | 2014-09-25 | |
| 2014-09-23 | ANICETTI RICHARD A Director | 4 | Stock Option (right to buy) (1) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,500 25,500 owned after | $12.00 exercise price | 2014-09-25 | |
| 2014-09-23 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy) (2) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +555,556 555,556 owned after | $12.00 exercise price | 2014-09-25 | |
| 2014-09-23 holding as of filing | PHEGLEY RICHARD N Officer (Senior VP and CFO) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $5.27 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | PHEGLEY RICHARD N Officer (Senior VP and CFO) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $7.90 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | LINK RICHARD A Officer (Group VP, Controller, CAO) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $5.27 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | LINK RICHARD A Officer (Group VP, Controller, CAO) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $7.90 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | AXELROD NORMAN Director | 3 | Stock Option (right to buy) (1) Derivative · Direct | Holding | $5.27 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | AXELROD NORMAN Director | 3 | Stock Option (right to buy) (1) Derivative · Direct | Holding | $7.90 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Giancamilli Andrew A. Director | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $5.27 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Giancamilli Andrew A. Director | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $7.90 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | LADDON MICHAEL M Officer (Senior VP and CIO) | 3 | Stock Option (right to buy) (1) Derivative · Direct | Holding | $5.27 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | LADDON MICHAEL M Officer (Senior VP and CIO) | 3 | Stock Option (right to buy) (1) Derivative · Direct | Holding | $7.90 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Smith Eugene M. Officer (VP and Treasurer) | 3 | Stock Option (right to buy) (1) Derivative · Direct | Holding | $5.27 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Smith Eugene M. Officer (VP and Treasurer) | 3 | Stock Option (right to buy) (1) Derivative · Direct | Holding | $7.90 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Smith Eugene M. Officer (VP and Treasurer) | 3 | Stock Option (right to buy) (2) Derivative · Direct | Holding | $5.27 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Smith Eugene M. Officer (VP and Treasurer) | 3 | Stock Option (right to buy) (2) Derivative · Direct | Holding | $7.90 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Hirz David G. Director, Officer (President & CEO) | 3 | Stock Option (right to buy) (1) Derivative · Direct | Holding | $2.09 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Hirz David G. Director, Officer (President & CEO) | 3 | Stock Option (right to buy) (2) Derivative · Direct | Holding | $2.51 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Hirz David G. Director, Officer (President & CEO) | 3 | Stock Option (right to buy) (3) Derivative · Direct | Holding | $5.27 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Hirz David G. Director, Officer (President & CEO) | 3 | Stock Option (right to buy) (3) Derivative · Direct | Holding | $7.90 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | ALVARADO DONALD G Officer (Senior VP and GC) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $5.27 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | ALVARADO DONALD G Officer (Senior VP and GC) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $7.90 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Trtek Martin J. Officer (President, Cash & Carry) | 3 | Stock Option (right to buy) (1) Derivative · Direct | Holding | $5.27 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Trtek Martin J. Officer (President, Cash & Carry) | 3 | Stock Option (right to buy) (1) Derivative · Direct | Holding | $7.90 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Mortensen Michael A. Officer (SVP Sls & Mrch Smart & Final) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $2.09 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Mortensen Michael A. Officer (SVP Sls & Mrch Smart & Final) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $2.09 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Mortensen Michael A. Officer (SVP Sls & Mrch Smart & Final) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $2.52 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Mortensen Michael A. Officer (SVP Sls & Mrch Smart & Final) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $5.27 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Mortensen Michael A. Officer (SVP Sls & Mrch Smart & Final) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $7.90 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Drew Scott R. Officer (SVP, Store Ops, Smart & Final) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $2.09 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Drew Scott R. Officer (SVP, Store Ops, Smart & Final) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $2.09 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Drew Scott R. Officer (SVP, Store Ops, Smart & Final) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $2.52 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Drew Scott R. Officer (SVP, Store Ops, Smart & Final) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $5.27 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Drew Scott R. Officer (SVP, Store Ops, Smart & Final) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $7.90 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | WHYNOT JEFFREY D Officer (SVP, Human Resources) | 3 | Stock Option (right to buy) (1) Derivative · Direct | Holding | $5.27 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | WHYNOT JEFFREY D Officer (SVP, Human Resources) | 3 | Stock Option (right to buy) (1) Derivative · Direct | Holding | $7.90 exercise price | 2014-09-23 |