SEC Form 4 · accession 0001209191-15-065315
CENTRAL GARDEN & PET CO · CENT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brooks Pennington III
Director
Period of report
Aug 10, 2015
Accepted (ET)
Aug 11, 2015 · 5:20 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000887733
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Aug 10, 2015 | F | 785 | $11.26 | D | 96,753 | D | |
| Class A Common StockF2 | holding | — | — | — | 3,876 | I | By Spouse | |
| Class A Common StockF3 | holding | — | — | — | 15,208 | I | By LLC | |
| UnitsF4 | holding | — | — | — | 1,415 | I | 401(k) Account | |
| Common Stock | holding | — | — | — | 159,950 | D | ||
| Common StockF5 | holding | — | — | — | 49,040 | I | By L.P. | |
| Common StockF2 | holding | — | — | — | 6,938 | I | By Spouse | |
| Common StockF3 | holding | — | — | — | 7,604 | I | By LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares withheld by the Issuer in payment of the withholding tax liability incurred upon the vesting of the restricted stock award granted to the Reporting Person by the Issuer on February 10, 2015.
- F2Mr. Pennington disclaims beneficial ownership of 6,938 shares of the Issuer's Common Stock owned by his spouse and 3,876 shares of the Issuer's Class A Common Stock owned by his spouse.
- F3By Pennington Management Company II, LLC, in which Mr. Pennington has an ownership interest. Mr. Pennington is the President of Pennington Management Company II, LLC. Mr. Pennington disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
- F4The information in this report is based on a plan statement as of June 30, 2015. The units represent interests in the CENTA Stock Fund in the Issuer's 401(k) Plan, which consist of shares of CENTA stock and cash.
- F5By BPCB Partners L.P. The general managing partner of BPCB Partners L.P. is BPCB Management Company LLC ("BPCBLLC") and Mr. Pennington is the sole member of BPCBLLC. Mr. Pennington disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.