SEC Form 4 · accession 0001354327-15-000073
PGT Innovations, Inc. · PGTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Floyd F Sherman
Director
Period of report
Aug 11, 2015
Accepted (ET)
Aug 13, 2015 · 2:01 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 | Aug 11, 2015 | M | 43,008 | $1.98 | A | 47,749 | D | |
| Common Stock, par value $0.01 per shareF1 | Aug 11, 2015 | S | 43,008 | $12.93 | D | 4,741 | 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) | $1.98 | Aug 11, 2015 | M | 43,008 | D | Apr 7, 2010 | Apr 7, 2020 | Common Stock | 43,008 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $12.85 to $13.07 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 request by the SEC staff, the issuer, or a security holder of the issuer.