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SMITH & WESSON BRANDS, INC. — Director's Dealing 2016
Mar 18, 2016
33129_dirs_2016-03-18_ac78c741-ef80-4481-bf00-820f47b8050c.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: 2016-03-18
Reporting Person: Golden Michael F (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-03-18 | Common Stock | M | 42000 | $5.55 | Acquired | 329073 | Direct |
| 2016-03-18 | Common Stock | M | 54200 | $3.92 | Acquired | 383273 | Direct |
| 2016-03-18 | Common Stock | S | 88084 | $29.8841 | Disposed | 295189 | Direct |
| 2016-03-18 | Common Stock | S | 8116 | $30.3483 | Disposed | 287073 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-03-18 | Employee Stock Option (Right to Buy) | $5.55 | M | 42000 | Disposed | 2019-09-18 | Common Stock (42000) | Direct |
| 2016-03-18 | Employee Stock Option (Right to Buy) | $3.92 | M | 54200 | Disposed | 2020-08-02 | Common Stock (54200) | Direct |
Footnotes
F1: The shares were sold pursuant to a 10b5-1 Trading Plan dated March 11, 2016.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.30 to $30.27, 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.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.30 to $30.41, 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.
F4: One-third of the total number of options granted vested and became exercisable on each of the first, second, and third anniversary of the September 18, 2009 date of grant.
F5: One-third of the total number of options granted vested and became exercisable on each of the first, second, and third anniversary of the August 2, 2010 date of grant.