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: 9 rows in 2018. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-12-03: 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.
- 2018-11-26: 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.
- 2018-11-02: 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.
- 2018-10-01: 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 |
|---|---|---|---|---|---|---|---|---|
| 2018-12-03 | 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 | −21,977 0 owned after | $2.52 exercise price | 2018-12-04 | |
| 2018-11-26 | 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 | −559,500 0 owned after | $2.51 exercise price | 2018-12-04 | |
| 2018-11-02 | 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 | −21,977 21,977 owned after | $2.52 exercise price | 2018-11-06 | |
| 2018-10-01 | 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 | −21,976 43,954 owned after | $2.52 exercise price | 2018-10-03 | |
| 2018-05-16 | 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 | −200,000 559,500 owned after | $2.51 exercise price | 2018-05-17 | |
| 2018-04-16 | 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 | −200,000 759,500 owned after | $2.51 exercise price | 2018-04-18 | |
| 2018-04-09 | 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 | −35,930 0 owned after | $2.52 exercise price | 2018-04-11 | |
| 2018-03-08 | 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 | −30,000 35,930 owned after | $2.52 exercise price | 2018-03-09 | |
| 2018-01-16 | 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 0 owned after | $2.09 exercise price | 2018-01-18 |