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: 37 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-12-20: 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.
- 2017-12-01: Reporting owner Mortensen Michael A.; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-11-20: 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.
- 2017-11-01: Reporting owner Mortensen Michael A.; 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 |
|---|---|---|---|---|---|---|---|---|
| 2017-12-20 | 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 | −36,560 36,560 owned after | $2.09 exercise price | 2017-12-21 | |
| 2017-12-01 | Mortensen Michael A. Officer (SVP Sales & Merchandising) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,652 0 owned after | $2.09 exercise price | 2017-12-05 | |
| 2017-11-20 | 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 | −54,840 73,120 owned after | $2.09 exercise price | 2017-11-22 | |
| 2017-11-01 | Mortensen Michael A. Officer (SVP Sales & Merchandising) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −19,304 9,652 owned after | $2.09 exercise price | 2017-11-03 | |
| 2017-10-02 | Mortensen Michael A. Officer (SVP Sales & Merchandising) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −19,304 28,956 owned after | $2.09 exercise price | 2017-10-04 | |
| 2017-07-06 | Mortensen Michael A. Officer (SVP Sales & Merchandising) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −26,980 0 owned after | $2.09 exercise price | 2017-07-10 | |
| 2017-07-03 | Mortensen Michael A. Officer (SVP Sales & Merchandising) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −26,980 26,980 owned after | $2.09 exercise price | 2017-07-06 | |
| 2017-06-12 | 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 | −21,000 127,960 owned after | $2.09 exercise price | 2017-06-13 | |
| 2017-06-01 | Mortensen Michael A. Officer (SVP Sales & Merchandising) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −26,980 53,960 owned after | $2.09 exercise price | 2017-06-02 | |
| 2017-05-08 | 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) | +6,782 6,782 owned after | $12.90 exercise price | 2017-05-10 | |
| 2017-05-08 | 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) | +29,069 29,069 owned after | $12.90 exercise price | 2017-05-10 | |
| 2017-05-08 | 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) | +29,069 29,069 owned after | $12.90 exercise price | 2017-05-10 | |
| 2017-05-08 | 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) | +242,248 242,248 owned after | $12.90 exercise price | 2017-05-10 | |
| 2017-05-08 | 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) | +14,534 14,534 owned after | $12.90 exercise price | 2017-05-10 | |
| 2017-05-08 | 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) | +53,294 53,294 owned after | $12.90 exercise price | 2017-05-10 | |
| 2017-05-08 | Jones Derek R Officer (President, Cash & Carry) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +62,984 62,984 owned after | $12.90 exercise price | 2017-05-10 | |
| 2017-05-08 | 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) | +29,069 29,069 owned after | $12.90 exercise price | 2017-05-10 | |
| 2017-05-08 | 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) | +29,069 29,069 owned after | $12.90 exercise price | 2017-05-10 | |
| 2017-05-08 | PHEGLEY RICHARD N Officer (Senior Vice President & CFO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +53,294 53,294 owned after | $12.90 exercise price | 2017-05-10 | |
| 2017-05-08 | 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) | +29,069 29,069 owned after | $12.90 exercise price | 2017-05-10 | |
| 2017-05-01 | Mortensen Michael A. Officer (SVP Sales & Merchandising) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −26,980 80,940 owned after | $2.09 exercise price | 2017-05-03 | |
| 2017-04-04 | Mortensen Michael A. Officer (SVP Sales & Merchandising) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,300 107,920 owned after | $2.09 exercise price | 2017-04-05 | |
| 2017-04-03 | Mortensen Michael A. Officer (SVP Sales & Merchandising) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,680 141,200 owned after | $2.09 exercise price | 2017-04-05 | |
| 2017-04-03 | Mortensen Michael A. Officer (SVP Sales & Merchandising) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −26,980 114,220 owned after | $2.09 exercise price | 2017-04-05 | |
| 2017-03-21 | 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 | −24,343 52,858 owned after | $2.09 exercise price | 2017-03-22 | |
| 2017-03-21 | 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 | −52,858 0 owned after | $2.09 exercise price | 2017-03-22 | |
| 2017-03-20 | 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 | −55,198 77,201 owned after | $2.09 exercise price | 2017-03-22 | |
| 2017-03-01 | 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 | −11,200 0 owned after | $2.09 exercise price | 2017-03-03 | |
| 2017-02-09 | Mortensen Michael A. Officer (SVP Sales & Merchandising) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −26,980 161,880 owned after | $2.09 exercise price | 2017-02-13 | |
| 2017-02-01 | 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 | −79,540 185,256 owned after | $2.09 exercise price | 2017-02-03 | |
| 2017-02-01 | 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 | −52,857 132,399 owned after | $2.09 exercise price | 2017-02-03 | |
| 2017-02-01 | 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 | −11,200 11,200 owned after | $2.09 exercise price | 2017-02-03 | |
| 2017-01-17 | Mortensen Michael A. Officer (SVP Sales & Merchandising) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −26,980 188,860 owned after | $2.09 exercise price | 2017-01-18 | |
| 2017-01-04 | 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 | +60,895 317,653 owned after | $2.09 exercise price | 2017-01-05 | |
| 2017-01-04 | 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 | +52,857 264,796 owned after | $2.09 exercise price | 2017-01-05 | |
| 2017-01-03 | 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 | +11,240 22,400 owned after | $2.09 exercise price | 2017-01-05 | |
| 2017-01-03 | 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 | +18,645 378,548 owned after | $2.09 exercise price | 2017-01-05 |