SEC Form 4 · accession 0001354327-16-000146

PGT Innovations, Inc. · PGTI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chairman and CEO · Director

Period of report

Jul 18, 2016

Accepted (ET)

Jul 20, 2016 · 6:17 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^F1	Jul 18, 2016	M	28,500	$2.00	A	986,843	D
Common Stock, par value $0.01 per share^F1,F2	Jul 18, 2016	S	28,500	$12.00	D	958,343	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F3	$2.00	Jul 18, 2016	M	28,500	D	—	Apr 6, 2020	Common Stock	28,500	843,526	D

F1Transaction was effected pursuant to a binding Trading Plan executed by the reporting person on June 14, 2016.
F2This transaction was executed in multiple trades at prices ranging from $12.00 to $12.01 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.
F3The option grant was approved by the board of directors of PGT, Inc. (the "Company") under the PGT, Inc. Amended and Restated 2006 Equity Incentive Plan on March 18, 2010, subject to stockholder approval of the Amended and Restated 2006 Equity Incentive Plan. The Company's stockholders approved the Amended and Restated 2006 Equity Incentive Plan on April 6, 2010. The option became exercisable in five equal installments beginning on April 6, 2011.