SEC Form 4 · accession 0001209191-18-003398
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
Jan 10, 2018
Accepted (ET)
Jan 12, 2018 · 4:06 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 | Jan 10, 2018 | S | 10,000 | $35.4744 | D | 35,928 | D | |
| Class A Common StockF3 | holding | — | — | — | 15,208 | I | By LLC | |
| Class A Common StockF4 | holding | — | — | — | 3,876 | I | By Spouse | |
| Common Stock | holding | — | — | — | 159,950 | D | ||
| Common StockF5 | holding | — | — | — | 40,040 | I | By L.P. | |
| Common StockF4 | holding | — | — | — | 6,938 | I | By Spouse | |
| Common StockF3 | holding | — | — | — | 7,604 | I | By LLC | |
| UnitsF6 | holding | — | — | — | 1,585 | I | 401(K) Account |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Sale effected under 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 $35.13 to $35.81. Mr. Pennington 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.
- 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.
- F4Mr. 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.
- 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.
- F6The units represent interests in the CENTA Stock Fund in the Issuer's 401(k) Plan, which consist of shares of CENTA stock and cash.