SEC Form 4/A · accession 0001209191-17-029888
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
Joseph F. Puishys
Officer — Chief Executive Officer & Pres · Director
Period of report
May 1, 2017
Accepted (ET)
May 4, 2017 · 10:49 am 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 | May 1, 2017 | M | 40,000 | $8.34 | A | 263,239 | D | |
| Common StockF3 | May 1, 2017 | S | 40,000 | $56.1344 | D | 223,239 | D | |
| Common Stock | May 2, 2017 | M | 40,000 | $8.34 | A | 263,239 | D | |
| Common StockF4 | May 2, 2017 | S | 40,000 | $56.058 | D | 223,239 | D | |
| Common Stock | May 3, 2017 | M | 20,000 | $8.34 | A | 243,239 | D | |
| Common StockF5 | May 3, 2017 | S | 20,000 | $55.4656 | D | 223,239 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (Right to Buy)F6 | $8.34 | May 1, 2017 | M | 40,000 | D | — | Aug 22, 2021 | Common Stock | 40,000 | 160,341 | D |
| Option (Right to Buy)F6 | $8.34 | May 2, 2017 | M | 40,000 | D | — | Aug 22, 2021 | Common Stock | 40,000 | 120,341 | D |
| Option (Right to Buy)F6 | $8.34 | May 3, 2017 | M | 20,000 | D | — | Aug 22, 2021 | Common Stock | 20,000 | 100,341 | D |
Explanation of responses
- F1Includes restricted stock awards under the 2009 Stock Incentive Plan.
- F2The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on January 31, 2017 which was reported on a Form 8-K filed February 6, 2017.
- F3The price reported is the weighted average sale price for the transactions reported. The prices received ranged from $54.66 to $56.92. 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.
- F4The price reported is the weighted average sale price for the transactions reported. The prices received ranged from $55.74 to $56.77. 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.
- F5The price reported is the weighted average sale price for the transactions reported. The prices received ranged from $55.17 to $55.81. 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.
- F6Currently 100% exercisable.
Remarks
The Form 4 has been amended to add a footnote relating to the sales inadvertently omitted from initial filing.