SEC Form 4 · accession 0001209191-15-076572
APOGEE ENTERPRISES, INC. · APOG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patricia A Beithon
Officer — Secretary
Period of report
Oct 22, 2015
Accepted (ET)
Oct 23, 2015 · 4:01 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000006845
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Oct 22, 2015 | M | 16,939 | $15.77 | A | 125,854 | D | |
| Common Stock | Oct 22, 2015 | D | 10,864 | $51.25 | D | 114,990 | D | |
| Common StockF3 | holding | — | — | — | 3,590 | I | 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightsF4 | $15.77 | Oct 22, 2015 | M | 16,939 | D | — | Apr 25, 2016 | Common Stock | 16,939 | 0 | D |
Explanation of responses
- F1Includes shares acquired under the Employee Stock Purchase Plan as of 9/30/15 and shares of restricted stock granted under the Amended and Restated 2002 Omnibus Stock Incentive Plan and 2009 Stock Incentive Plan.
- F2Since the date of the reporting person's last ownership report, she transferred 84,192 shares of Issuer's common stock to her ex-spouse pursuant to a domestic relations order.
- F3Represents the approximate number of shares of common stock for which the Reporting Person has the right to direct the vote under the Apogee 401(k) Retirement Plan per the Trustee's 9/30/15 statement. Shares of common stock are not directly allocated to the Plan participants, but are instead held in a unitized fund consisting primarily of common stock and a small percentage of short-term investments. participants acquire units in this fund.
- F4Currently 100% exercisable.