SEC Form 4 · accession 0001209191-18-026867
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
Apr 26, 2018
Accepted (ET)
Apr 30, 2018 · 4:46 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,F2 | Apr 26, 2018 | A | 3,750 | $0.00 | A | 126,397 | D | |
| Common Stock | Apr 27, 2018 | M | 17,104 | $21.59 | A | 143,501 | D | |
| Common Stock | Apr 27, 2018 | D | 11,418 | $41.18 | D | 132,083 | D | |
| Common StockF3 | holding | — | — | — | 3,866 | 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 RightsF4 | $21.59 | Apr 27, 2018 | M | 17,104 | D | — | Apr 29, 2018 | Common Stock | 17,104 | 0 | D |
Explanation of responses
- F1Shares vest over a three year vesting period with one-third of the shares vesting on 4/30/2019, 4/30/2020 and 4/30/2021.
- F2Includes shares acquired under the Employee Stock Purchase Plan as of 3/31/18 and shares of restricted stock granted under the 2009 Stock Incentive Plan.
- F3Represents 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 3/31/18 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.
- F4Currently 100% exercisable.