SEC Form 4 · accession 0001209191-16-104603
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
Mar 1, 2016
Accepted (ET)
Mar 2, 2016 · 5:10 pm EST
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 StockF2 | Mar 1, 2016 | S | 10,000 | $13.7103 | D | 88,208 | D | |
| Class A Common StockF3 | holding | — | — | — | 3,876 | I | By Spouse | |
| Class A Common StockF4 | holding | — | — | — | 15,208 | I | By LLC | |
| UnitsF5 | holding | — | — | — | 1,464 | I | 401(k) Account | |
| Common Stock | holding | — | — | — | 159,950 | D | ||
| Common StockF6 | holding | — | — | — | 49,040 | I | By L.P | |
| Common StockF3 | holding | — | — | — | 6,938 | I | By Spouse | |
| Common StockF4 | holding | — | — | — | 7,604 | I | By LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares sold through sales plan pursuant to Rule 10b5-1(c)(1) of the Securities Exchange Act of 1934, as amended.
- F2The range of prices for the shares of Class A Common Stock is from $13.51 to $13.85. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.
- F3Mr. Pennington disclaims beneficial ownership of 3,876 shares of the Issuer's Class A Common Stock owned by his spouse and 6,938 shares of the Issuer's Common Stock owned by his spouse.
- F4By 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.
- F5The units represent interests in the CENTA Stock Fund in the Issuer's 401(k) Plan as of December 31, 2015, which consist of shares of CENTA stock and cash.
- F6By 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.