SEC Form 5 · accession 0001209191-17-020157
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
Mar 4, 2017
Accepted (ET)
Mar 13, 2017 · 4:11 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 | Jan 27, 2017 | G | 730 | $0.00 | D | 120,634 | D | |
| Common StockF2 | holding | — | — | — | 3,751 | I | 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes shares acquired under the Employee Stock Purchase Plan as of 3/4/17 and shares of restricted stock granted under the 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 3/4/17 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.