SEC Form 4 · accession 0000899243-17-027395
PGT Innovations, Inc. · PGTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard D Feintuch
Director
Period of report
Nov 21, 2017
Accepted (ET)
Nov 24, 2017 · 5:41 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001354327
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| PGTI Common Stock | Nov 21, 2017 | M | 29,200 | $2.04 | A | 75,508 | D | |
| PGTI Common StockF1 | Nov 21, 2017 | S | 29,200 | $16.07 | D | 46,308 | D | |
| PGTI Common Stock | Nov 22, 2017 | M | 20,800 | $2.04 | A | 67,108 | D | |
| PGTI Common StockF2 | Nov 22, 2017 | S | 20,800 | $16.01 | D | 46,308 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F4,F3 | $2.04 | Nov 21, 2017 | M | 29,200 | D | — | May 3, 2022 | PGTI Common Stock | 29,200 | 72,495 | D |
| Stock Option (Right to Buy)F5,F3 | $2.04 | Nov 22, 2017 | M | 20,800 | D | — | May 3, 2022 | PGTI Common Stock | 20,800 | 51,695 | D |
Explanation of responses
- F1The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $16.05 to $16.15 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F2The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $15.90 to $16.10 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3An aggregate of 101,695 stock options were granted to the reporting person on May 3, 2012. The dates on which those options became exercisable are as follows: 33,898 became exercisable on the grant date and 67,797 became exercisable in two approximately equal installments on each of May 3, 2013 and May 3, 2014.
- F4Represents the remaining number of exercisable stock options granted to the reporting person on May 3, 2012 that had not yet been exercised after giving effect to the reported transaction.
- F5Represents the currently-remaining number of exersisable stock options granted to the reporting person on May 3, 2012 that have not yet been exercised.