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SMITH & WESSON BRANDS, INC. — Director's Dealing 2014
Jun 26, 2014
33129_dirs_2014-06-25_6c6db566-ebd8-4e5f-b1c6-21bd4eb832f9.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SMITH & WESSON HOLDING CORP (SWHC)
CIK: 0001092796
Period of Report: 2014-06-23
Reporting Person: Smith Mark Peter (See remarks.)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-06-23 | Common Stock | M | 3333 | $4.59 | Acquired | 45320 | Direct |
| 2014-06-23 | Common Stock | M | 8334 | $4.54 | Acquired | 53654 | Direct |
| 2014-06-23 | Common Stock | M | 8000 | $7.98 | Acquired | 61654 | Direct |
| 2014-06-23 | Common Stock | S | 19667 | $15.2979 | Disposed | 41987 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-06-23 | Employee Stock Option (Right to Buy) | $4.59 | M | 3333 | Disposed | 2020-05-03 | Common Stock (3333) | Direct |
| 2014-06-23 | Employee Stock Option (Right to Buy) | $4.54 | M | 8334 | Disposed | 2022-01-04 | Common Stock (8334) | Direct |
| 2014-06-23 | Employee Stock Option (Right to Buy) | $7.98 | M | 8000 | Disposed | 2022-04-24 | Common Stock (8000) | Direct |
Footnotes
F1: The shares were sold pursuant to a 10b5-1 Sales Plan dated December 23, 2013, as amended.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.13 to $15.66, 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, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F3: One-third of the total number of options granted on May 3, 2010 vested and became exercisable on each of the first, second, and third anniversary of the date of grant.
F4: One-third of the total number of options granted on January 4, 2012 vested or shall vest and became or shall become exercisable on each of the first, second, and third anniversary of the date of grant.
F5: One-third of the total number of options granted on April 24, 2012 vested or shall vest and became or shall become exercisable on each of the first, second, and third anniversary of the date of grant.