SEC Form 4 · accession 0001354327-16-000156
PGT Innovations, Inc. · PGTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mario Ferrucci III
Officer — VP and General Counsel
Period of report
Aug 9, 2016
Accepted (ET)
Aug 16, 2016 · 3:55 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 9, 2016 | M | 16,872 | $2.00 | A | 58,513 | D | |
| Common Stock, par value $0.01 per shareF1 | Aug 9, 2016 | S | 16,872 | $11.55 | D | 41,641 | 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 | $2.00 | Aug 9, 2016 | M | 16,872 | D | — | Apr 6, 2020 | Common Stock | 16,872 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $11.50 to $11.65 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 293,968 options exercisable in five approximately equal annual installments beginning on April 6, 2011.