SEC Form 4 · accession 0001354327-18-000067
PGT Innovations, Inc. · PGTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard D Feintuch
Director
Period of report
Nov 9, 2018
Accepted (ET)
Nov 13, 2018 · 5:30 pm EST
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 | Nov 9, 2018 | M | 51,695 | $2.04 | A | 101,810 | D | |
| PGTI Common StockF1 | Nov 9, 2018 | S | 5,010 | $21.05 | D | 96,800 | 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 | $2.04 | Nov 9, 2018 | M | 51,695 | D | — | May 3, 2022 | PGTI Common Stock | 51,695 | 0 | D |
Explanation of responses
- F1The proceeds from the sale of these shares were used by the reporting person to pay the aggregate exercise price for the exercise of options described elsewhere in this Form 4.
- F2An aggregate of 101,695 stock options were granted to the reporting person on May 3, 2012. The dates on which those options became exercisable were as follows: 33,898 became exercisable on the grant date and 67,797 became exercisable in two approximately equal installments on each of May 3, 2013 and May 3, 2014.