0001209191-16-107438.txt : 20160309 0001209191-16-107438.hdr.sgml : 20160309 20160309175658 ACCESSION NUMBER: 0001209191-16-107438 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160307 FILED AS OF DATE: 20160309 DATE AS OF CHANGE: 20160309 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SMITH & WESSON HOLDING CORP CENTRAL INDEX KEY: 0001092796 STANDARD INDUSTRIAL CLASSIFICATION: ORDNANCE & ACCESSORIES, (NO VEHICLES/GUIDED MISSILES) [3480] IRS NUMBER: 870543688 STATE OF INCORPORATION: NV FISCAL YEAR END: 0430 BUSINESS ADDRESS: STREET 1: 2100 ROOSEVELT AVENUE CITY: SPRINGFIELD STATE: MA ZIP: 01104 BUSINESS PHONE: 4137473573 MAIL ADDRESS: STREET 1: 2100 ROOSEVELT AVENUE CITY: SPRINGFIELD STATE: MA ZIP: 01104 FORMER COMPANY: FORMER CONFORMED NAME: SAF T HAMMER CORP/NV DATE OF NAME CHANGE: 20000404 FORMER COMPANY: FORMER CONFORMED NAME: LOST COAST VENTURES INC DATE OF NAME CHANGE: 19990809 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Debney P. James CENTRAL INDEX KEY: 0001476145 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31552 FILM NUMBER: 161495648 MAIL ADDRESS: STREET 1: 2100 ROOSEVELT AVENUE CITY: SPRINGFIELD STATE: MA ZIP: 01104 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-03-07 0 0001092796 SMITH & WESSON HOLDING CORP SWHC 0001476145 Debney P. James 2100 ROOSEVELT AVENUE SPRINGFIELD MA 01104 1 1 0 0 President and CEO Common Stock 2016-03-07 4 M 0 25000 3.92 A 287196 D Common Stock 2016-03-07 4 M 0 11428 3.57 A 298624 D Common Stock 2016-03-07 4 M 0 25000 3.57 A 323624 D Common Stock 2016-03-07 4 M 0 41200 8.89 A 364824 D Common Stock 2016-03-07 4 S 0 102128 26.1833 D 262696 D Common Stock 2016-03-07 4 S 0 500 26.968 D 262196 D Common Stock 2016-03-08 4 M 0 13572 3.57 A 275768 D Common Stock 2016-03-08 4 M 0 92133 8.89 A 367901 D Common Stock 2016-03-08 4 S 0 105705 26.0807 D 262196 D Common Stock 2016-03-09 4 M 0 100000 4.56 A 362196 D Common Stock 2016-03-09 4 S 0 100000 27.45 D 262196 D Common Stock 2016-03-09 4 S 0 24731 28.10 D 237465 D Employee Stock Option (Right to Buy) 3.92 2016-03-07 4 M 0 25000 0.00 D 2020-08-02 Common Stock 25000 0 D Employee Stock Option (Right to Buy) 3.57 2016-03-07 4 M 0 11428 0.00 D 2021-07-12 Common Stock 11428 13572 D Employee Stock Option (Right to Buy) 3.57 2016-03-07 4 M 0 25000 0.00 D 2021-07-12 Common Stock 25000 0 D Employee Stock Option (Right to Buy) 8.89 2016-03-07 4 M 0 41200 0.00 D 2021-09-26 Common Stock 41200 158800 D Employee Stock Option (Right to Buy) 3.57 2016-03-08 4 M 0 13572 0.00 D 2021-07-12 Common Stock 13572 0 D Employee Stock Option (Right to Buy) 8.89 2016-03-08 4 M 0 92133 0.00 D 2021-09-26 Common Stock 92133 66667 D Employee Stock Option (Right to Buy) 4.56 2016-03-09 4 M 0 100000 0.00 D 2019-11-09 Common Stock 100000 0 D The shares were sold pursuant to a 10b5-1 Trading Plan dated December 17, 2015. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.95 to $26.90, 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. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.96 to $26.98, 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. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.95 to $26.10, 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. 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. The total number of options granted vested and became exercisable on the first anniversary of the July 12, 2011 date of grant. 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. One-third of the total number of options granted vested and became exercisable on the April 10, 2013 date of grant and one-third of the total number of options granted vested and became exercisable on each of September 26, 2013 and September 26, 2014. One-third of the total number of options granted vested and became exercisable on each of the first, second, and third anniversary of the November 9, 2009 date of grant. Robert J. Cicero, as attorney-in-fact 2016-03-09