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: 16 rows in 2015. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-12-24: Reporting owner Hong Eleanor; Form 4; Security Stock Option(right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2015-12-24: Reporting owner Hong Eleanor; Form 4; Security Stock Option(right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2015-12-23: Reporting owner Hong Eleanor; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2015-12-23: Reporting owner Hong Eleanor; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-12-24 | Hong Eleanor Officer (Senior VP and CMO) | 4 | Stock Option(right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −189 75,001 owned after | $12.00 exercise price | 2015-12-28 | |
| 2015-12-24 | Hong Eleanor Officer (Senior VP and CMO) | 4 | Stock Option(right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,598 100,726 owned after | $12.00 exercise price | 2015-12-28 | |
| 2015-12-23 | Hong Eleanor Officer (Senior VP and CMO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,977 75,190 owned after | $12.00 exercise price | 2015-12-28 | |
| 2015-12-23 | Hong Eleanor Officer (Senior VP and CMO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,466 62,401 owned after | $12.00 exercise price | 2015-12-28 | |
| 2015-12-23 | Hong Eleanor Officer (Senior VP and CMO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,998 102,324 owned after | $12.00 exercise price | 2015-12-28 | |
| 2015-12-22 | Hong Eleanor Officer (Senior VP and CMO) | 4/A | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,016 65,867 owned after | $12.00 exercise price | 2015-12-28 | |
| 2015-12-22 | Hong Eleanor Officer (Senior VP and CMO) | 4/A | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,103 106,322 owned after | $12.00 exercise price | 2015-12-28 | |
| 2015-12-22 | Hong Eleanor Officer (Senior VP and CMO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,711 79,167 owned after | $12.00 exercise price | 2015-12-23 | |
| 2015-12-22 | Hong Eleanor Officer (Senior VP and CMO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,016 108,451 owned after | $12.00 exercise price | 2015-12-23 | |
| 2015-12-22 | Hong Eleanor Officer (Senior VP and CMO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,103 63,738 owned after | $12.00 exercise price | 2015-12-23 | |
| 2015-12-21 | Hong Eleanor Officer (Senior VP and CMO) | 4/A | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,450 66,883 owned after | $12.00 exercise price | 2015-12-28 | |
| 2015-12-21 | Hong Eleanor Officer (Senior VP and CMO) | 4/A | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,492 109,425 owned after | $12.00 exercise price | 2015-12-28 | |
| 2015-12-21 | Hong Eleanor Officer (Senior VP and CMO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,455 80,878 owned after | $12.00 exercise price | 2015-12-23 | |
| 2015-12-21 | Hong Eleanor Officer (Senior VP and CMO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,450 109,467 owned after | $12.00 exercise price | 2015-12-23 | |
| 2015-12-21 | Hong Eleanor Officer (Senior VP and CMO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,492 66,841 owned after | $12.00 exercise price | 2015-12-23 | |
| 2015-07-27 | Drew Scott R. Officer (EVP, Operations, Smart & Final) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $16.32 exercise price | 2015-07-29 |