SEC Form 4 · accession 0001209191-15-069840
CENTRAL GARDEN & PET CO · CENT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Howard Machek
Officer — Chief Accounting Officer
Period of report
Sep 3, 2015
Accepted (ET)
Sep 8, 2015 · 8:09 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 | Sep 3, 2015 | M | 12,800 | $9.26 | A | 34,760 | D | |
| Class A Common Stock | Sep 3, 2015 | F | 9,971 | $14.34 | D | 24,789 | D | |
| Units - Class A Common StockF2 | holding | — | — | — | 1,096 | I | By 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 Option (Right to Buy)F3 | $9.26 | Sep 3, 2015 | M | 12,800 | D | — | Apr 13, 2017 | Class A Common Stock | 12,800 | 7,200 | D |
Explanation of responses
- F1Shares withheld by the Issuer in payment of the aggregate option exercise price and withholding tax liability incurred upon the above-reported exercise of options. The amount of shares withheld is based on the respective average of the high and low sales prices on the date of exercise.
- F2The units represent interests in the CENTA Stock Fund in the Issuer's 401(k) Plan, which consist of shares of CENTA stock and cash.
- F3Options were granted on April 13, 2011 of which 12,800 shares are vested and exercisable, 3,200 shares will be vesting and exercisable on March 13, 2017 and 4,000 shares are subject to the satisfaction of performance conditions.