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: 46 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-12-05: Reporting owner Hirz David G.; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-12-02: Reporting owner Drew Scott R.; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-12-02: Reporting owner Drew Scott R.; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-12-02: Reporting owner Hirz David G.; 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-12-05 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +17,143 397,193 owned after | $2.09 exercise price | 2016-12-06 | |
| 2016-12-02 | Drew Scott R. Officer (EVP, Operations) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +11,300 44,940 owned after | $2.09 exercise price | 2016-12-05 | |
| 2016-12-02 | Drew Scott R. Officer (EVP, Operations) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +11,300 33,640 owned after | $2.09 exercise price | 2016-12-05 | |
| 2016-12-02 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +44,500 414,336 owned after | $2.09 exercise price | 2016-12-05 | |
| 2016-12-01 | Drew Scott R. Officer (EVP, Operations) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +11,300 78,840 owned after | $2.09 exercise price | 2016-12-05 | |
| 2016-12-01 | Drew Scott R. Officer (EVP, Operations) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +11,300 67,540 owned after | $2.09 exercise price | 2016-12-05 | |
| 2016-12-01 | Drew Scott R. Officer (EVP, Operations) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +11,300 56,240 owned after | $2.09 exercise price | 2016-12-05 | |
| 2016-12-01 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +52,857 476,733 owned after | $2.09 exercise price | 2016-12-05 | |
| 2016-12-01 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +17,897 458,836 owned after | $2.09 exercise price | 2016-12-05 | |
| 2016-11-22 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +43,013 529,590 owned after | $2.09 exercise price | 2016-11-23 | |
| 2016-11-21 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +52,857 609,130 owned after | $2.09 exercise price | 2016-11-23 | |
| 2016-11-21 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +36,527 572,603 owned after | $2.09 exercise price | 2016-11-23 | |
| 2016-10-04 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +62,762 661,987 owned after | $2.09 exercise price | 2016-10-05 | |
| 2016-10-03 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +16,778 777,606 owned after | $2.09 exercise price | 2016-10-05 | |
| 2016-10-03 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +52,857 724,749 owned after | $2.09 exercise price | 2016-10-05 | |
| 2016-09-12 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +5,029 794,384 owned after | $2.09 exercise price | 2016-09-13 | |
| 2016-09-09 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +39,756 799,413 owned after | $2.09 exercise price | 2016-09-12 | |
| 2016-09-08 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +34,755 892,026 owned after | $2.09 exercise price | 2016-09-12 | |
| 2016-09-08 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +52,857 839,169 owned after | $2.09 exercise price | 2016-09-12 | |
| 2016-07-05 | Drew Scott R. Officer (EVP, Operations) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,916 90,140 owned after | $2.09 exercise price | 2016-07-06 | |
| 2016-07-01 | Drew Scott R. Officer (EVP, Operations) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +23,084 92,056 owned after | $2.09 exercise price | 2016-07-06 | |
| 2016-06-02 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +2,857 960,571 owned after | $2.09 exercise price | 2016-06-06 | |
| 2016-06-02 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +33,790 926,781 owned after | $2.09 exercise price | 2016-06-06 | |
| 2016-05-06 | SMITH LELAND Officer (Senior VP, Secretary & GC) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,389 27,389 owned after | $15.65 exercise price | 2016-05-10 | |
| 2016-05-06 | SMITH LELAND Officer (Senior VP, Secretary & GC) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,993 3,993 owned after | $15.65 exercise price | 2016-05-10 | |
| 2016-05-06 | Smith Eugene M. Officer (VP and Treasurer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,591 5,591 owned after | $15.65 exercise price | 2016-05-10 | |
| 2016-05-06 | Mortensen Michael A. Officer (SVP Sales & Merchandising) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +23,961 23,961 owned after | $15.65 exercise price | 2016-05-10 | |
| 2016-05-06 | 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) | +7,987 7,987 owned after | $15.65 exercise price | 2016-05-10 | |
| 2016-05-06 | 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) | +23,961 23,961 owned after | $15.65 exercise price | 2016-05-10 | |
| 2016-05-06 | PHEGLEY RICHARD N Officer (Senior VP & CFO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +39,936 39,936 owned after | $15.65 exercise price | 2016-05-10 | |
| 2016-05-06 | Drew Scott R. Officer (EVP, Operations) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +39,936 39,936 owned after | $15.65 exercise price | 2016-05-10 | |
| 2016-05-06 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +199,680 199,680 owned after | $15.65 exercise price | 2016-05-10 | |
| 2016-05-06 | WONG EDWARD Officer (SVP, Supply Chain & CIO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +23,961 23,961 owned after | $15.65 exercise price | 2016-05-10 | |
| 2016-05-06 | 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) | +23,961 23,961 owned after | $15.65 exercise price | 2016-05-10 | |
| 2016-04-25 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +226 963,428 owned after | $2.09 exercise price | 2016-04-27 | |
| 2016-03-30 | Hirz David G. Director, Officer (President & CEO) | 4/A | Stock Option (right to buy) (1) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +25,697 981,633 owned after | $2.09 exercise price | 2016-04-04 | |
| 2016-03-30 | Hirz David G. Director, Officer (President & CEO) | 4/A | Stock Option (right to buy) (1) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +11,160 970,473 owned after | $2.09 exercise price | 2016-04-04 | |
| 2016-03-30 | Hirz David G. Director, Officer (President & CEO) | 4/A | Stock Option (right to buy) (1) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +6,819 963,654 owned after | $2.09 exercise price | 2016-04-04 | |
| 2016-03-30 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy) (4) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +25,697 981,633 owned after | $2.09 exercise price | 2016-03-31 | |
| 2016-03-30 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy) (4) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +11,160 970,473 owned after | $2.09 exercise price | 2016-03-31 | |
| 2016-03-30 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy) (4) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +6,819 963,654 owned after | $2.09 exercise price | 2016-03-31 | |
| 2016-03-29 | Hirz David G. Director, Officer (President & CEO) | 4/A | Stock Option (right to buy) (1) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +4,310 1,007,330 owned after | $2.09 exercise price | 2016-04-04 | |
| 2016-03-29 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy) (4) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +4,310 1,007,330 owned after | $2.09 exercise price | 2016-03-31 | |
| 2016-02-01 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +2,069 1,011,640 owned after | $2.09 exercise price | 2016-02-03 | |
| 2016-01-12 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +14,824 1,013,709 owned after | $2.09 exercise price | 2016-01-13 | |
| 2016-01-11 | Hirz David G. Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +52,757 1,028,533 owned after | $2.09 exercise price | 2016-01-13 |