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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Smart & Final Stores, Inc. | NYSE:SFS | NYSE | Ordinary Share |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 6.50 | 0.00 | 01:00:00 |
FORM 4
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X
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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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
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1. Name and Address of Reporting Person
*
ARES CORPORATE OPPORTUNITIES FUND III LP |
2. Issuer Name
and
Ticker or Trading Symbol
Smart & Final Stores, Inc. [ SFS ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __ X __ 10% Owner _____ Officer (give title below) _____ Other (specify below) |
2000 AVENUE OF THE STARS |
3. Date of Earliest Transaction
(MM/DD/YYYY)
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LOS ANGELES, CA 90067 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person _ X _ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
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1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. 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 $0.001 | 6/18/2019 | U (1) | 44218762 | D | $6.50 | 0 | D (2) (3) |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. 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 |
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 of Derivative Security: 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 |
Remarks:
This Form 4 is the first of two Forms 4 being filed relating to the same event. The Form 4 has been split into two filings because there are more than ten Reporting Persons in total, and the SEC's filing system will not accept CIK and CCC codes from more than ten joint filers of a report. Thus, in total, there are 12 joint filers: ACOF III, ACOF IV, ACOF Operating Manager III, ACOF Operating Manager IV, Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, Ares Voting, Ares Management GP and Ares Partners. |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
ARES CORPORATE OPPORTUNITIES FUND III LP
2000 AVENUE OF THE STARS LOS ANGELES, CA 90067 |
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X |
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Ares Corporate Opportunities Fund IV, L.P.
2000 AVENUE OF THE STARS LOS ANGELES, CA 90067 |
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X |
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ACOF Operating Manager III LLC
2000 AVENUE OF THE STARS LOS ANGELES, CA 90067 |
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X |
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ACOF Operating Manager IV, LLC
2000 AVENUE OF THE STARS LOS ANGELES, CA 90067 |
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X |
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ARES MANAGEMENT LLC
2000 AVENUE OF THE STARS LOS ANGELES, CA 90067 |
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X |
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Ares Management Holdings L.P.
2000 AVENUE OF THE STARS LOS ANGELES, CA 90067 |
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X |
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Ares Holdco LLC
2000 AVENUE OF THE STARS LOS ANGELES, CA 90067 |
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X |
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Ares Holdings Inc.
2000 AVENUE OF THE STARS LOS ANGELES, CA 90067 |
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X |
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Ares Management Corp
2000 AVENUE OF THE STARS LOS ANGELES, CA 90067 |
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X |
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Ares Voting LLC
2000 AVENUE OF THE STARS LOS ANGELES, CA 90067 |
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X |
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Signatures
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ARES CORPORATE OPPORTUNITIES FUND III, L.P. By:ACOF OPERATING MANAGER III, LLC Its:Manager /s/ Naseem Sagati Aghili By: Naseem Sagati Aghili Its: Authorized Signatory | 6/20/2019 | |
** Signature of Reporting Person |
Date
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ARES CORPORATE OPPORTUNITIES FUND IV, L.P. By:ACOF OPERATING MANAGER IV, LLC Its:Manager /s/ Naseem Sagati Aghili By: Naseem Sagati Aghili Its: Authorized Signatory | 6/20/2019 | |
** Signature of Reporting Person |
Date
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ACOF OPERATING MANAGER III, LLC /s/ Naseem Sagati Aghili By: Naseem Sagati Aghili Its: Authorized Signatory | 6/20/2019 | |
** Signature of Reporting Person |
Date
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ACOF OPERATING MANAGER IV, LLC /s/ Naseem Sagati Aghili By: Naseem Sagati Aghili Its: Authorized Signatory | 6/20/2019 | |
** Signature of Reporting Person |
Date
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ARES MANAGEMENT LLC /s/ Naseem Sagati Aghili By: Naseem Sagati Aghili Its: Authorized Signatory | 6/20/2019 | |
** Signature of Reporting Person |
Date
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ARES MANAGEMENT HOLDINGS L.P. By:ARES HOLDCO LLC Its:General Partner /s/ Naseem Sagati Aghili By: Naseem Sagati Aghili Its: Authorized Signatory | 6/20/2019 | |
** Signature of Reporting Person |
Date
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ARES HOLDCO LLC /s/ Naseem Sagati Aghili By: Naseem Sagati Aghili Its: Authorized Signatory | 6/20/2019 | |
** Signature of Reporting Person |
Date
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ARES HOLDINGS INC. /s/ Naseem Sagati Aghili By: Naseem Sagati Aghili Its: Authorized Signatory | 6/20/2019 | |
** Signature of Reporting Person |
Date
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ARES MANAGEMENT CORPORATION /s/ Naseem Sagati Aghili By: Naseem Sagati Aghili Its: Authorized Signatory | 6/20/2019 | |
** Signature of Reporting Person |
Date
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ARES VOTING LLC By:ARES PARTNERS HOLDCO LLC Its:Sole Member /s/ Naseem Sagati Aghili By: Naseem Sagati Aghili Its: Authorized Signatory | 6/20/2019 | |
** Signature of Reporting Person |
Date
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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 control number. |
1 Year SMART & FINAL STORES, INC. Chart |
1 Month SMART & FINAL STORES, INC. Chart |
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