SEC Form 4 · accession 0001209191-17-013315
CENTRAL GARDEN & PET CO · CENT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George A. Yuhas
Officer — General Counsel
Period of report
Feb 17, 2017
Accepted (ET)
Feb 22, 2017 · 4:48 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 Stock | Feb 17, 2017 | M | 12,500 | $10.63 | A | 64,325 | D | |
| Class A Common StockF1 | Feb 17, 2017 | F | 8,512 | $33.65 | D | 55,813 | D | |
| Class A Common Stock | Feb 17, 2017 | M | 11,750 | $13.82 | A | 67,563 | D | |
| Class A Common StockF1 | Feb 17, 2017 | F | 8,451 | $33.65 | D | 59,112 | D | |
| Class A Common StockF2 | Feb 22, 2017 | S | 7,287 | $32.4643 | D | 51,825 | D | |
| UnitsF3 | holding | — | — | — | 3,652 | 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)F4 | $10.63 | Feb 17, 2017 | M | 12,500 | D | — | Mar 31, 2021 | Class A Common Stock | 12,500 | 37,500 | D |
| Stock Option (Right to Buy)F5 | $13.82 | Feb 17, 2017 | M | 11,750 | D | — | Jan 29, 2022 | Class A Common Stock | 11,750 | 35,250 | 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 range of prices for the shares of Class A Common Stock is from $33.265 to $33.354. Mr. Yuhas 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.
- F3The units represent interests in the CENTA Stock Fund in the Issuer's 401(k) Plan, which consist of shares of CENTA stock and cash.
- F4The options shall vest in four increments of 25% on March 31, 2016, 2017, 2018 and 2019.
- F5The options shall vest in four increments of 25% on January 29, 2017, 2018, 2019 and 2020.