SEC Form 4/A · accession 0001209191-16-091630
APOGEE ENTERPRISES, INC. · APOG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Jerome L Davis
Director
Period of report
Dec 31, 2015
Accepted (ET)
Jan 15, 2016 · 12:23 pm EST
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 | Jan 4, 2016 | M | 1,060 | — | A | 22,833 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF2,F3 | $0.00 | Dec 31, 2015 | A | 402 | A | — | — | Common Stock | 402 | 35,381 | D |
| Phantom Stock UnitsF2,F3 | $0.00 | Dec 31, 2015 | A | 88 | A | — | — | Common Stock | 88 | 35,469 | D |
| Restricted Stock UnitsF5,F3 | $0.00 | Dec 31, 2015 | A | 3 | A | — | — | Common Stock | 3 | 1,368 | D |
| Phantom StockF1,F2 | — | Jan 4, 2016 | M | 1,060 | D | — | — | Common Stock | 1,060 | 34,409 | D |
Explanation of responses
- F1Each share of phantom stock was the economic equivalent of one share of the Issuer's common stock.
- F2The phantom stock units were allocated under the Deferred Compensation Plan for Non-Employee Directors. The units of phantom stock will be settled in shares of common stock following the director's termination from the Board in accordance with the election of the reporting person, or following the occurrence of other events specified in the Plan.
- F3Settled 1-for-1.
- F4Units acquired pursuant to a dividend equivalent reinvestment feature of the Deferred Compensation Plan for Non-Employee Directors.
- F5The restricted stock units were allocated under the 2009 Non-Employee Director Stock Incentive Plan. The units of restricted stock will be settled in shares of common stock following the director's termination from the Board in accordance with the election of the reporting person, or following the occurrence of other events specified in the Plan.
- F6Units acquired pursuant to a dividend equivalent reinvestment feature of the 2009 Non-Employee Director Stock Incentive Plan.