SEC Form 4 · accession 0001209191-17-001679
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
Jan 3, 2017
Accepted (ET)
Jan 5, 2017 · 11:31 am 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 3, 2017 | M | 14,946 | $24.19 | A | 133,768 | D | |
| Common Stock | Jan 3, 2017 | D | 9,492 | $55.07 | D | 124,276 | D | |
| Common StockF2 | holding | — | — | — | 3,722 | 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 RightsF3 | $24.19 | Jan 3, 2017 | M | 14,946 | D | — | May 1, 2017 | Common Stock | 14,946 | 0 | D |
Explanation of responses
- F1Includes shares acquired under the Employee Stock Purchase Plan as of 12/31/16 and shares of restricted stock granted under the Amended and Restated 2002 Omnibus Stock Incentive Plan and 2009 Stock Incentive Plan.
- F2Represents 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 12/31/16 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.
- F3Currently 100% exercisable.