Form 4 for SMPL Simply Good Foods Co
Accepted 2021-11-10 00:00:00 ET · period of report 2021-11-08 · accession 0001702744-21-000140 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2021-11-10 | 2021-11-10 | SMPL | SCALZO JOSEPH | CEO, Pres, Dir | S - Sale | $39.85 | -60.5K | 43.2K | -58% | -$2.41M |
| D | 2021-11-10 | 2021-11-08 | SMPL | SCALZO JOSEPH | CEO, Pres, Dir | A - Grant | $0.00 | +13.7K | 121.5K | +13% | $0 |
| D | 2021-11-10 | 2021-11-08 | SMPL | SCALZO JOSEPH | CEO, Pres, Dir | F - Tax | $40.88 | -23.7K | 97.9K | -19% | -$968.3K |
| D | 2021-11-10 | 2021-11-10 | SMPL | SCALZO JOSEPH | CEO, Pres, Dir | S - Sale | $39.75 | -52.3K | 45.6K | -53% | -$2.08M |
| D | 2021-11-10 | 2021-11-08 | SMPL | SCALZO JOSEPH | CEO, Pres, Dir | A - Grant | $0.00 | +36.2K | 36.2K | New | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-11-10 | S | D | 30,378 | $39.85 | 24,625 | I | — | — | (F3) This transaction was effective pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on 8/16/2021. The Rule 10b5-1 trading plan, which was structured to include several sale periods, was established as part of the Reporting Person's long-term strategy for asset diversification and financial, retirement, estate and tax planning activities over a period of time. (F5) The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $39.60 to $40.29, inclusive. The reporting person undertakes to provide to the issuer, any stockholder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. |
| 2 | Common | Common Stock | 2021-11-10 | S | D | 30,116 | $39.85 | 43,205 | I | — | — | (F3) This transaction was effective pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on 8/16/2021. The Rule 10b5-1 trading plan, which was structured to include several sale periods, was established as part of the Reporting Person's long-term strategy for asset diversification and financial, retirement, estate and tax planning activities over a period of time. (F6) The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $39.62 to $40.29, inclusive. The reporting person undertakes to provide to the issuer, any stockholder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. |
| 3 | Common | Common Stock | 2021-11-08 | A | A | 13,732 | $0.00 | 121,541 | D By GRAT | — | — | (F1) Represents time-based restricted stock units ("RSUs") granted under the issuer's 2017 Omnibus Incentive Plan. Each RSU represents the contingent right to receive one share of the issuer's common stock. The RSUs vest in three substantially equal annual installments beginning on November 8, 2022, subject to the reporting person's continuous service with the issuer as of each vesting date. |
| 4 | Common | Common Stock | 2021-11-08 | F | D | 23,686 | $40.88 | 97,855 | D By Trust | — | — | |
| 5 | Common | Common Stock | 2021-11-10 | S | D | 52,300 | $39.75 | 45,555 | D | — | — | (F3) This transaction was effective pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on 8/16/2021. The Rule 10b5-1 trading plan, which was structured to include several sale periods, was established as part of the Reporting Person's long-term strategy for asset diversification and financial, retirement, estate and tax planning activities over a period of time. (F4) The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $39.61 to $39.90, inclusive. The reporting person undertakes to provide to the issuer, any stockholder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. |
| 6 | Derivative | Options to Purchase Common Stock | 2021-11-08 | A | A | 36,231 | $0.00 | 36,231 | D | $40.88 · — to 2031-11-08 | 36,231 Common Stock | (F7) The stock options vest in three substantially equal annual installments beginning on November 8, 2022, subject to the reporting person's continuous service with the issuer as of each vesting date. |