SEC Form 4 · accession 0001354327-15-000044
PGT Innovations, Inc. · PGTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William J Morgan
Director
Period of report
May 15, 2015
Accepted (ET)
May 18, 2015 · 5:12 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.01 per share | May 15, 2015 | M | 50,000 | $1.98 | A | 85,404 | D | |
| Common Stock, par value $0.01 per shareF1 | May 15, 2015 | S | 50,000 | $12.20 | D | 35,404 | 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)F2 | $1.98 | May 15, 2015 | M | 50,000 | D | — | Apr 7, 2020 | Common Stock, par value $0.01 per share | 50,000 | 41,395 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $12.17 to $12.23 per share, The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon requested by the SEC staff, the issuer, or a security holder of the issuer.
- F2An aggregate of 91,395 options were granted in this tranche and exercisable in three approximately equal annual installments beginning on April 7, 2011.