SEC Form 4
FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION | ||
Washington, D.C. 20549 | OMB APPROVAL | |
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP | ||
OMB Number: | 3235-0287 | |
Estimated average burden | ||
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 | hours per response: | 0.5 |
or Section 30(h) of the Investment Company Act of 1940 |
1. Name and Address of Reporting Person*
Smith Mark Peter
(Last) | (First) | (Middle) |
2100 ROOSEVELT AVENUE | ||
(Street) | ||
SPRINGFIELD | MA | 01104 |
(City) | (State) | (Zip) |
2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer | ||
SMITH & WESSON BRANDS, INC.[ | (Check all applicable) | ||
SWBI ] | Director | 10% Owner | |
X | Officer (give title | Other (specify | |
below) | below) | ||
3. Date of Earliest Transaction (Month/Day/Year) | |||
See remarks. | |||
04/06/2020 | |||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable | ||
04/08/2020 | Line) | ||
X Form filed by One Reporting Person | |||
Form filed by More than One Reporting | |||
Person | |||
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) | 2. Transaction | 2A. Deemed | 3. | 4. Securities Acquired (A) or | 5. Amount of | 6. Ownership | 7. Nature | |||
Date | Execution Date, | Transaction | Disposed Of (D) (Instr. 3, 4 and | Securities | Form: Direct | of Indirect | ||||
(Month/Day/Year) | if any | Code (Instr. | 5) | Beneficially | (D) or Indirect | Beneficial | ||||
(Month/Day/Year) | 8) | Owned Following | (I) (Instr. 4) | Ownership | ||||||
Reported | (Instr. 4) | |||||||||
Code | V | Amount | (A) or | Price | Transaction(s) | |||||
(D) | (Instr. 3 and 4) | |||||||||
Common Stock | 04/06/2020 | A | 44,872(1) | A | $0.00 | 122,819 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of | 2. | 3. Transaction | 3A. Deemed | 4. | 5. Number | 6. Date Exercisable and | 7. Title and | 8. Price of | 9. Number of | 10. | 11. Nature | ||||
Derivative | Conversion | Date | Execution Date, | Transaction | of | Expiration Date | Amount of | Derivative | derivative | Ownership | of Indirect | ||||
Security | or Exercise | (Month/Day/Year) | if any | Code (Instr. | Derivative | (Month/Day/Year) | Securities | Security | Securities | Form: | Beneficial | ||||
(Instr. 3) | Price of | (Month/Day/Year) | 8) | Securities | Underlying | (Instr. 5) | Beneficially | Direct (D) | Ownership | ||||||
Derivative | Acquired | Derivative | Owned | or Indirect | (Instr. 4) | ||||||||||
Security | (A) or | Security (Instr. | Following | (I) (Instr. 4) | |||||||||||
Disposed | 3 and 4) | Reported | |||||||||||||
of (D) | Transaction(s) | ||||||||||||||
(Instr. 3, 4 | (Instr. 4) | ||||||||||||||
and 5) | |||||||||||||||
Amount | |||||||||||||||
or | |||||||||||||||
Number | |||||||||||||||
Date | Expiration | of | |||||||||||||
Code | V | (A) | (D) | Exercisable | Date | Title | Shares | ||||||||
Explanation of Responses:
1. One-quarter of the restricted stock units shall vest on each of the first, second, third, and fourth anniversaries of May 1, 2020. Shares, net of tax withholding, will be delivered on each anniversary of the applicable vesting date.
Remarks:
This amended Form 4 is being filed solely to correct the vesting schedule set forth in footnote (1). The reporting person is Co-President & Co-Chief Executive Officer.
/s/ Robert J. Cicero, as | 08/14/2020 | |
attorney-in-fact | ||
** 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).
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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.
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Smith & Wesson Brands Inc. published this content on 14 August 2020 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 14 August 2020 21:32:12 UTC