SEC Form 4 · accession 0001354327-17-000055
PGT Innovations, Inc. · PGTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard D Feintuch
Director
Period of report
Aug 8, 2017
Accepted (ET)
Aug 10, 2017 · 5:38 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 |
|---|---|---|---|---|---|---|---|---|
| PGTI Common Stock | Aug 8, 2017 | M | 34,743 | $1.98 | A | 81,051 | D | |
| PGTI Common StockF1 | Aug 8, 2017 | S | 34,743 | $13.29 | D | 46,308 | D | |
| PGTI Common Stock | Aug 9, 2017 | M | 14,716 | $1.98 | A | 61,024 | D | |
| PGTI Common StockF2 | Aug 9, 2017 | S | 14,716 | $12.96 | 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 | $1.98 | Aug 8, 2017 | M | 34,743 | D | — | Apr 7, 2020 | PGTI Common Stock | 34,743 | 65,086 | D |
| Stock Option ( Right to Buy)F4,F3 | $1.98 | Aug 9, 2017 | M | 14,716 | D | — | Apr 7, 2020 | PGTI Common Stock | 14,716 | 50,910 | D |
Explanation of responses
- F1The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.20 to $13.40 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, full 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. These shares were sold in multiple transactions at prices ranging from $12.90 to $13.10 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, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3An aggregate of 99,459 stock options were granted to the reporting person on April 7, 2010. The dates on which those options became exercisable are as follows: 43,008 of the options were immediately exercisable on the grant date; 24,193 of the options became exercisable in three approximately equal installments on each of July 3, 2010, October 2, 2010 and January 1, 2011; and 32,258 of the options became exercisable on April 7, 2011.
- F4Represents the remaining number of currently-exercisable stock options granted to the reporting person on April 7, 2010 that have not yet been exercised.