SEC Form 4 · accession 0001209191-16-130734
APOGEE ENTERPRISES, INC. · APOG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bernard P Aldrich
Director
Period of report
Jun 30, 2016
Accepted (ET)
Jul 5, 2016 · 1:59 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 | Jul 1, 2016 | M | 6,072 | $28.10 | A | 35,421 | D | |
| Common StockF2 | Jul 1, 2016 | S | 6,072 | $47.2276 | D | 29,349 | 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 UnitsF3,F4 | $0.00 | Jun 30, 2016 | A | 127 | A | — | — | Common Stock | 127 | 47,522 | D |
| Director Option to BuyF6 | $28.10 | Jul 1, 2016 | M | 6,072 | D | — | Jun 27, 2017 | Common Stock | 6,072 | 0 | D |
Explanation of responses
- F1Includes restricted stock awards under the 2009 Non-Employee Director Stock Incentive Plan.
- F2The price reported is the weighted average sale price for the transactions reported. The prices received ranged from $47.15 to $47.298. The Reporting Person will provide to the issuer, a security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each price within the range.
- F3The 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.
- F4Settled 1-for-1.
- F5Units acquired pursuant to a dividend equivalent reinvestment feature of the Deferred Compensation Plan for Non-Employee Directors.
- F6Currently 100% exercisable.