-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Czj3H40XOtz1KhxisATm56vlvGSJFyXYo/aKoVwqMN63SmqEk/VJ988smJ9Zvaoc qoEDedP0Nv79/PpxWgb+Hw== 0000898430-02-002341.txt : 20020617 0000898430-02-002341.hdr.sgml : 20020617 20020617143005 ACCESSION NUMBER: 0000898430-02-002341 CONFORMED SUBMISSION TYPE: DEFA14A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020617 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SMART & FINAL INC/DE CENTRAL INDEX KEY: 0000875751 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-GROCERIES & RELATED PRODUCTS [5140] IRS NUMBER: 954079584 STATE OF INCORPORATION: DE FISCAL YEAR END: 0103 FILING VALUES: FORM TYPE: DEFA14A SEC ACT: 1934 Act SEC FILE NUMBER: 001-10811 FILM NUMBER: 02680461 BUSINESS ADDRESS: STREET 1: 600 CITADEL DRIVE CITY: CITY OF COMMERCE STATE: CA ZIP: 90040 BUSINESS PHONE: 3238697500 MAIL ADDRESS: STREET 1: 600 CITADEL DRIVE CITY: CITY OF COMMERCE STATE: CA ZIP: 90040 FORMER COMPANY: FORMER CONFORMED NAME: SFI CORP /CA DATE OF NAME CHANGE: 19600201 DEFA14A 1 ddefa14a.txt DEFINITIVE ADDITIONAL MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [_] Check the appropriate box: [_] Preliminary Proxy Statement [_] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [_] Definitive Proxy Statement [X] Definitive Additional Materials [_] Soliciting Material Pursuant to (S) 240.14a-12 SMART & FINAL INC. - -------------------------------------------------------------------------------- (Name of Registrant as Specified In Its Charter) - -------------------------------------------------------------------------------- (Name of Person(s) Filing Proxy Statement, if other than the Registrant) Payment of Filing Fee (Check the appropriate box): [X] No fee required [_] Fee computed on table below per Exchange Act Rules 14a-6(i)(4) and 0-11. (1) Title of each class of securities to which transaction applies: (2) Aggregate number of securities to which transaction applies: (3) Per unit price or other underlying value of transaction computed pursuant to Exchange Act Rule 0-11 (Set forth the amount on which the filing fee is calculated and state how it was determined): (4) Proposed maximum aggregate value of transaction: (5) Total fee paid: [_] Fee paid previously with preliminary materials. [_] Check box if any part of the fee is offset as provided by Exchange Act Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing. (1) Amount Previously Paid: (2) Form, Schedule or Registration Statement No.: (3) Filing Party: (4) Date Filed: SUPPLEMENT TO PROXY STATEMENT OF SMART & FINAL INC. FOR ANNUAL MEETING TO BE HELD JULY 2, 2002 This Supplement supplements the Proxy Statement of Smart & Final, Inc. (the "Company"), dated as of June 14, 2002, which relates to the Annual Meeting of Stockholders scheduled for July 2, 2002. The following sets forth certain information relating to the equity compensation plans of the Company as of December 30, 2001, the most recently completed fiscal year of the Company: EQUITY COMPENSATION PLAN INFORMATION
- ------------------------------------------------------------------------------------------------------------------------------------ Plan Category Number of securities to be Weighted-average Number of securities remaining issued upon exercise of exercise price of available for future issuance outstanding options, warrants outstanding options, under equity compensation plans and rights warrants and rights (excluding securities reflected in column (a)) - ------------------------------------------------------------------------------------------------------------------------------------ (a) (b) (c) - ------------------------------------------------------------------------------------------------------------------------------------ Equity compensation plans approved by security holders: - ------------------------------------------------------------------------------------------------------------------------------------ Stock Incentive Plan: 547,147 $11.2914 0 - ------------------------------------------------------------------------------------------------------------------------------------ Long-Term Equity Compensation Plan: 2,306,675 $10.0840 906,751 (1) - ------------------------------------------------------------------------------------------------------------------------------------ Non-Employee Director Stock Plan: 0 $ 0 125,000 (2) - ------------------------------------------------------------------------------------------------------------------------------------ Equity compensation plans not approved by security holders: - ------------------------------------------------------------------------------------------------------------------------------------ Options to purchase Common Stock (3): 158,500 $ 9.4594 0 - ------------------------------------------------------------------------------------------------------------------------------------ Total 3,012,322 $10.2704 1,031,751 - ------------------------------------------------------------------------------------------------------------------------------------
(1) These shares are also available for grant as restricted stock awards, stock appreciation rights and other stock-based incentives. (2) These shares are available for award pursuant to an annual formula grant. The number of shares awarded is equal to the quotient of $15,000 divided by the fair market value of the Company's stock on the date of award. (3) Represents individual options to purchase shares of the Common Stock granted to certain non-employee directors of the Company. Each of those options provides for a term of 10 years and reflects an exercise price equal to the fair market value of the Company's Common Stock as of the date of grant thereof. For options granted on May 4, 1999 (covering an aggregate of 100,000 shares), one-third vest at each of the first, second and third anniversaries of the grant. For the remaining options granted on May 11, 1999 and May 1, 2000, one-third become exercisable two years after the grant date and each year thereafter, so that 100% is exercisable four years after grant date. It is contemplated that these options will be included in the Non-Employee Director Stock Plan as discussed in the Proxy Statement under the section thereof describing the proposal to amend the Non-Employee Director Stock Plan. 1
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