|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Director Stock Option (Right to Buy) | $ 12.88 | 12/11/2015 | M | 5,000 | (8) | 09/18/2016 | Common Stock | 5,000 | $ 0 | 0 | D | ||||
Director Stock Option (Right to Buy) | $ 4.44 | 12/11/2015 | M | 5,000 | (9) | 09/15/2018 | Common Stock | 5,000 | $ 0 | 0 | D | ||||
Director Stock Option (Right to Buy) | $ 5.79 | 12/11/2015 | M | 5,000 | (10) | 09/14/2019 | Common Stock | 5,000 | $ 0 | 0 | D | ||||
Director Stock Option (Right to Buy) | $ 3.69 | 12/11/2015 | M | 5,000 | (11) | 09/27/2020 | Common Stock | 5,000 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 3.73 | 12/11/2015 | M | 50,000 | (12) | 01/03/2021 | Common Stock | 50,000 | $ 0 | 50,000 | D | ||||
Employee Stock Option (Right to Buy) | $ 3.57 | 12/11/2015 | M | 17,806 | (13) | 07/12/2021 | Common Stock | 17,806 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 7.98 | 12/11/2015 | M | 21,601 | (14) | 04/24/2022 | Common Stock | 21,601 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 3.73 | 12/15/2015 | M | 6,274 | (12) | 01/03/2021 | Common Stock | 6,274 | $ 0 | 43,726 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BUCHANAN JEFFREY D 2100 ROOSEVELT AVENUE SPRINGFIELD, MA 01104 |
See Remarks |
Robert J. Cicero, attorney-in-fact | 12/15/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes 1,129 shares acquired under the Issuer's Employee Stock Purchase Plan on September 30, 2015. |
(2) | The shares were sold pursuant to a 10b5-1 Trading Plan dated September 24, 2015. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.40 to $23.30, inclusive. The reporting person undertakes to provide to Smith & Wesson Holding Corporation (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(4) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.46 to $23.00, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(5) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.40 to $23.39, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(6) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.40 to $23.42, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(7) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.95 to $23.17, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(8) | 1/12th of the total number of options granted vested and became exercisable each month after the September 18, 2006 date of grant. |
(9) | 1/12th of the total number of options granted vested and became exercisable each month after the September 15, 2008 date of grant. |
(10) | 1/12th of the total number of options granted vested and became exercisable each month after the September 14, 2009 date of grant. |
(11) | 1/12th of the total number of options granted vested and became exercisable each month after the September 27, 2010 date of grant. |
(12) | One-third of the total number of options granted vested and became exercisable on each of the first, second, and third anniversary of the January 3, 2011 date of grant. |
(13) | One-third of the total number of options granted vested and became exercisable on each of the first, second, and third anniversary of the July 12, 2011 date of grant. |
(14) | One-third of the total number of options granted vested and became exercisable on each of the first, second, and third anniversary of the April 24, 2012 date of grant. |
Remarks: The reporting person is the Executive Vice President, Chief Financial Officer, Chief Administrative Officer, and Treasurer. |