IPO registrations (S-1, F-1) · Registrants
Smart & Final Stores, Inc.
- SEC CIK
- 1563407 · filings on EDGAR ↗
- Former names
- SF CC Holdings, Inc. (2012–2012)
- Registration
- Form S-1, first filed 2014-06-20, last 2015-04-13; 2 initial registrations, 6 amendments
- Outcome
- Final prospectus filed 2014-09-25; declared effective 2014-09-23
- Industry (SIC)
- Retail-Grocery Stores 5411
- Incorporated in
- CA
- Business address
- 600 CITADEL DRIVE, Commerce, CA 90040
- EIN
- 80-0862253
- EDGAR entity type
- operating
- Insiders and CEO pay
- Smart & Final Stores, Inc. on the corporate pages
Offering terms
- Proposed price range
- $12.00–$14.00 per share (S-1/A filed 2014-09-22)
- Final price
- $12.00 per share, within the range (424B4 filed 2014-09-25, an initial public offering)
- Shares sold
- 13,450,000
- Gross proceeds
- $161,400,000 before underwriting discounts and any over-allotment option
- Listing
- NYSE under the symbol SFS
- Lead underwriters
- Credit Suisse; Morgan Stanley
- Syndicate
- Deutsche Bank; Barclays; Citigroup; Piper Sandler; Guggenheim Securities
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Business registration: SMART & FINAL STORES CORPORATION Fuzzy (name and state)
- Business registration: Smart & Final Stores LLC Fuzzy (name and state)
- Federal award recipient: SMART & FINAL STORES LLC Fuzzy (name and state)
- SEC filer: Smart & Final Stores, Inc. EXACT (CIK (EXACT))
- Person page: David G Hirz Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director,Officer))
- Person page: Donald G Alvarado Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer))
- Person page: Eugene M Smith Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer))
- Person page: Jeffrey D Whynot Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer))
Filings 12
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2014-06-20 | S-1 | S-1 (registration) | Smart & Final Stores, Inc. | 0001047469-14-005774 ↗ |
| 2014-07-31 | S-1/A | S-1/A (amendment) | Smart & Final Stores, Inc. | 0001047469-14-006527 ↗ |
| 2014-08-27 | S-1/A | S-1/A (amendment) | Smart & Final Stores, Inc. | 0001047469-14-007220 ↗ |
| 2014-09-08 | S-1/A | S-1/A (amendment) | Smart & Final Stores, Inc. | 0001047469-14-007436 ↗ |
| 2014-09-11 | S-1/A | S-1/A (amendment) | Smart & Final Stores, Inc. | 0001047469-14-007549 ↗ |
| 2014-09-22 | S-1/A | S-1/A (amendment) | Smart & Final Stores, Inc. | 0001047469-14-007771 ↗ |
| 2014-09-23 | EFFECT | EFFECT (declared effective) | Smart & Final Stores, Inc. | 9999999995-14-002840 ↗ |
| 2014-09-25 | 424B4 | 424B4 (final prospectus) | Smart & Final Stores, Inc. | 0001047469-14-007861 ↗ |
| 2015-03-30 | S-1 | S-1 (registration) | Smart & Final Stores, Inc. | 0001047469-15-002901 ↗ |
| 2015-04-13 | S-1/A | S-1/A (amendment) | Smart & Final Stores, Inc. | 0001047469-15-003415 ↗ |
| 2015-04-14 | EFFECT | EFFECT (declared effective) | Smart & Final Stores, Inc. | 9999999995-15-000870 ↗ |
| 2015-04-15 | 424B1 | 424B1 (final prospectus) | Smart & Final Stores, Inc. | 0001047469-15-003554 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2014-09-22 | S-1/A | registration statement | $12.00–$14.00 | 13,450,000 | - | NYSE SFS | 7 | primary document; range, shares headline, cover names 7 | document ↗ | |
| 2014-09-25 | 424B4 | final prospectus | $12.00 | 13,450,000 | $161,400,000 | NYSE SFS | 7 | primary document; price sentence, shares headline, proceeds computed, cover names 7 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| ACOF Operating Manager III LLC | TenPercentOwner | 4 | 2014–2019 | ||
| ACOF Operating Manager IV, LLC | TenPercentOwner | 4 | 2014–2019 | ||
| ALVARADO DONALD G | Officer | Senior VP and GC | 2 | 2014 | person page Fuzzy |
| ANICETTI RICHARD A | Director | 2 | 2014 | ||
| ARES CORPORATE OPPORTUNITIES FUND III LP | TenPercentOwner | 5 | 2014–2019 | ||
| Ares Corporate Opportunities Fund IV, L.P. | TenPercentOwner | 4 | 2014–2019 | ||
| Ares Holdings Inc. | TenPercentOwner | 4 | 2014–2019 | ||
| Ares Management Corp | TenPercentOwner | 4 | 2014–2019 | ||
| Ares Management GP LLC | TenPercentOwner | 4 | 2014–2019 | ||
| Ares Management Holdings L.P. | TenPercentOwner | 4 | 2014–2019 | ||
| ARES MANAGEMENT LLC | TenPercentOwner | 4 | 2014–2019 | ||
| Ares Partners Holdco LLC | TenPercentOwner | 4 | 2014–2019 | ||
| AXELROD NORMAN | Director | 7 | 2014–2019 | ||
| Drew Scott R. | Officer | EVP, Administration; EVP, Operations; EVP, Operations, Smart & Final; SVP, Store Ops, Smart & Final | 23 | 2014–2019 | |
| Giancamilli Andrew A. | Director | 5 | 2014–2019 | ||
| Gies Dennis | Director | 1 | 2014 | ||
| Hirz David G. | Director,Officer; Officer | President & CEO | 29 | 2014–2019 | person page Fuzzy |
| Hong Eleanor | Officer | Senior VP and CMO | 16 | 2014–2019 | |
| KAPLAN DAVID B | Director | 1 | 2014 | ||
| LADDON MICHAEL M | Officer | Senior VP and CIO | 2 | 2014 | |
| LINK RICHARD A | Officer | Group VP, Controller, CAO | 9 | 2014–2019 | |
| Mortensen Michael A. | Officer | SVP Sales & Merchandising; SVP Sls & Mrch Smart & Final | 18 | 2014–2018 | |
| PHEGLEY RICHARD N | Officer | Executive Vice President, CFO; Senior Vice President & CFO; Senior Vice President, CFO; Senior VP and CFO; Senior VP & CFO | 10 | 2014–2019 | |
| Smith Eugene M. | Officer | Group VP and Treasurer; VP and Treasurer | 10 | 2014–2019 | person page Fuzzy |
| Stein Adam L | Director | 1 | 2014 | ||
| Tesoriero Joseph S. | Director | 7 | 2014–2019 | ||
| Trtek Martin J. | Officer | President, Cash & Carry | 2 | 2014 | |
| WHYNOT JEFFREY D | Officer | SVP, Human Resources | 7 | 2014–2018 | person page Fuzzy |
| Hopkins Paul N | Director | 6 | 2015–2019 | ||
| TUCHMAN KENNETH I | Director | 6 | 2015–2019 | ||
| SMITH LELAND | Officer | Senior VP, Secretary & GC; SVP, Real Estate, GC & Secy. | 8 | 2016–2019 | |
| WONG EDWARD | Officer | EVP, Chief Merch/Digital Offcr; EVP, CM & Digital Officer; SVP & CIO; SVP, & CIO; SVP, Supply Chain & CIO | 10 | 2016–2019 | |
| Rubin Elaine | Director | 4 | 2017–2019 | ||
| Jones Derek R | Officer | President Cash & Carry; President, Cash & Carry; President, Smart Foodservice | 8 | 2017–2019 | |
| Ares Holdco LLC | TenPercentOwner | 1 | 2019 | ||
| Ares Voting LLC | TenPercentOwner | 1 | 2019 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Business registration | SMART & FINAL STORES CORPORATION | CA | State business registries | name and state |
| Business registration | Smart & Final Stores LLC | CA | State business registries | name and state |
| Contractor | Smart & Final Stores | CA | Nonprofit contractors (Form 990) | name and state |
| Federal award recipient | SMART & FINAL STORES LLC | CA | Federal spending (USAspending) | name and state |
| Recalling firm | SMART AND FINAL STORES CORP | CA | Food recalls (FDA, USDA) | name and state |
| SEC filer | Smart & Final Stores, Inc. | SEC filers (EDGAR) | CIK (EXACT) | |
| Trademark owner | Smart & Final Stores LLC | CA | Trademarks (USPTO) | name and state |
| Person page | David G Hirz | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director,Officer) | |
| Person page | Donald G Alvarado | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer) | |
| Person page | Eugene M Smith | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer) | |
| Person page | Jeffrey D Whynot | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.
Others with the same interests
SIC industry Retail-Grocery Stores, CA first:
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- Maison Solutions Inc. CA
- CALA FOODS INC CA
- ALPHA BETA COMPANY CA
- BELL MARKETS INC CA
- CALA CO CA
- FOOD 4 LESS OF CALIFORNIA INC CA
- FOOD 4 LESS MERCHANDISING INC CA
- FOOD 4 LESS OF SOUTHERN CALIFORNIA INC CA
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In other datasets, the same topic (Retail) in CA:
- Form D issuer: 4505 Meats Inc (Form D private offerings)
Interests: Retail-Grocery Stores · Retail