SEC FORM 3/A SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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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1. Name and Address of Reporting Person*
Cupero Susan Jean

(Last) (First) (Middle)
2100 ROOSEVELT AVENUE

(Street)
SPRINGFIELD MA 01104

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
06/23/2020
3. Issuer Name and Ticker or Trading Symbol
SMITH & WESSON BRANDS, INC. [ SWBI ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
See Remarks
5. If Amendment, Date of Original Filed (Month/Day/Year)
06/29/2020
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 11,084(1)(2) D
Common Stock 1,727 I By Son
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Includes (i) 2,272 shares underlying RSUs, 25% of which vested and delivered or shall vest and be delivered on each of the first, second, third, and fourth anniversaries of the June 15, 2017 grant date; (ii) 2,306 shares underlying RSUs, 25% of which vested and delivered or shall vest and be delivered on each of the first, second, third, and fourth anniversaries of the June 15, 2018 grant date; (iii) 2,306 shares underlying RSUs, 25% of which vested and delivered or shall vest and be delivered on each of the first, second, third, and fourth anniversaries of the June 15, 2019 grant date; and (iv) 6,250 shares underlying RSUs, 25% of which shall vest on each of the first, second, third, and fourth anniversaries of the March 15, 2020 grant date and be delivered on each anniversary of the applicable vesting date;
2. (Continued from footnote (1)) of which 1,127 of the shares underlying vested RSUs were previously withheld by the Issuer to satisfy certain tax withholding obligations associated with the vesting of the RSUs and of which 1,120 of the shares underlying vested RSUs were previously sold by the reporting person.
Remarks:
This amended Form 3 is being filed to correct the amount of shares beneficially owned by the reporting person. The reporting person is Vice President, Sales.
/s/ Deana L. McPherson, as attorney-in-fact 07/22/2022
** 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 5 (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.
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