SEC Form 4 · accession 0001209191-18-046826
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 13, 2018
Accepted (ET)
Aug 15, 2018 · 4:48 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 13, 2018 | F | 165 | $36.69 | D | 36,305 | D | |
| Class A Common StockF2 | holding | — | — | — | 3,876 | I | By Spouse | |
| Class A Common StockF3 | holding | — | — | — | 15,208 | I | By LLC | |
| UnitsF4 | holding | — | — | — | 1,604 | I | By 401(k) Account | |
| Common Stock | holding | — | — | — | 159,950 | D | ||
| Common StockF2 | holding | — | — | — | 6,938 | I | By Spouse | |
| Common StockF3 | holding | — | — | — | 7,604 | I | By LLC | |
| Common StockF5 | holding | — | — | — | 40,040 | I | By LP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares delivered by Reporting Person in payment of the withholding tax liability upon vesting of restricted stock. The amount of shares withheld is based on the average of the high and low of the sales prices of CENTA on August 13, 2018.
- F2Mr. 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.
- 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 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.