FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
SMART & FINAL INC/DE [ SMF ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 06/13/2005 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock, par value $.01 per share | 06/13/2005 | D | 500 | D | $11.35 | 16,012 | D | |||
Common Stock, par value $.01 per share | 06/13/2005 | D | 500 | D | $11.4 | 15,512 | D | |||
Common Stock, par value $.01 per share | 06/13/2005 | D | 1,000 | D | $11.39 | 14,512 | D | |||
Common Stock, par value $.01 per share | 06/13/2005 | D | 1,000 | D | $11.5 | 13,512(1) | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: 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 | ||||||||
Stock Options | $9.25 | 05/04/2000(2) | 05/04/2009 | Common | 15,000 | 15,000 | D | ||||||||
Stock Options | $6.875 | 02/15/2002(3) | 02/15/2010 | Common | 17,000 | 17,000 | D | ||||||||
Stock Options | $10.132 | 09/27/2003(4) | 09/27/2011 | Common | 20,000 | 20,000 | D | ||||||||
Stock Options | $9.8 | 02/19/2004(5) | 02/19/2012 | Common | 22,500 | 22,500 | D | ||||||||
Stock Options | $4.28 | 02/19/2005(6) | 02/19/2013 | Common | 25,000 | 25,000 | D | ||||||||
Stock Options | $6.5 | 09/16/2005(7) | 09/16/2013 | Common | 20,000 | 20,000 | D | ||||||||
Stock Options | $12.89 | 02/17/2006(8) | 02/17/2014 | Common | 30,000 | 30,000 | D | ||||||||
Stock Options | $15.2 | 02/15/2007(9) | 02/15/2015 | Common | 12,500 | 12,500 | D |
Explanation of Responses: |
1. Includes 6,800 previously reported vested smart shares and 4,167 restricted smart shares granted 2/05. |
2. Previously reported options. One fifth of the options became exercisable on May 4 in each of 2000, 2001, 2002, 2003 and 2004. |
3. Previously reported options. One-third of the options became exercisable on 2/15 in each of 2002, 2003 and 2004. |
4. Previously reported options. One-third of the options became exercisable on September 27 in each of 2003 and 2004. One-third will become exercisable on September 27, 2005. |
5. Previously reported options. One-third of the options became exercisble on Feb. 19 in each of 2004 and 2005. One-third will become exercisable on Feb. 19, 2006. |
6. Previously reported options. One-third of the options will became exercisable on Feb. 19, 2005. One-third will become exercisable in each of 2005 and 2006 and 2007. |
7. Previously reported options. One-third will become exercisable on Sept. 16 in each of 2005, 2006 and 2007. |
8. Previously reported options. One-third of the options become exercisable on February 17 in each of 2006, 2007, 2008. |
9. Previously reported options. One-third of the options will become exercisable on February 15 in each of 2007, 2008, and 2009 at an exercise price of $15.20 per share. |
Timothy Snee | 06/15/2005 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |