Filing Details
- Accession Number:
- 0001354327-13-000034
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-08-12 18:21:59
- Reporting Period:
- 2013-08-08
- Filing Date:
- 2013-08-12
- Accepted Time:
- 2013-08-12 18:21:59
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1354327 | Pgt Inc. | PGTI | Metal Doors, Sash, Frames, Moldings & Trim (3442) | 200634715 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1366234 | Iii Mario Ferrucci | Pgt, Inc. 1070 Technology Drive North Venice FL 34275 | Vice President | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $0.01 | Acquisiton | 2013-08-08 | 19,572 | $0.92 | 45,595 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 | Disposition | 2013-08-08 | 6,567 | $10.39 | 39,028 | No | 4 | F | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2013-08-08 | 13,005 | $10.39 | 26,023 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Acquisiton | 2013-08-09 | 8,332 | $0.92 | 34,355 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 | Acquisiton | 2013-08-09 | 122,096 | $2.00 | 156,541 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 | Disposition | 2013-08-09 | 57,690 | $10.16 | 98,851 | No | 4 | F | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2013-08-09 | 72,828 | $10.16 | 26,023 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-08-08 | 27,904 | $0.00 | 27,904 | $0.92 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-08-08 | 122,096 | $0.00 | 122,096 | $2.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2016-01-21 | No | 4 | M | Direct | |
| 171,872 | 2020-04-06 | No | 4 | M | Direct |
Footnotes
- Reflects 6,567 shares withheld at market price of $10.39 per share less an exercise price of $0.92 per share to fund the cashless exercise of 19,572 options owned by Mr. Ferrucci and the tax liability associated therewith. Such cashless exercise was in accordance with terms and provisions of the Company's Amended and Restated 2006 Equity Incentive Plan as approved by the Board of Directors.
- Reflects 2,827 shares withheld at market price of $10.16 per share less an exercise price of $0.92 per share, and 54,863 shares withheld at a market price of $10.16 per share less an exercise price of $2.00 per share, to fund the cashless exercise of 130,428 options owned by Mr. Ferrucci and the tax liability associated therewith. Such cashless exercise was in accordance with terms and provisions of the Company's Amended and Restated 2006 Equity Incentive Plan as approved by the Board of Directors.
- Fully exercisable at January 21, 2012.
- An aggregate of 293,968 options exercisable in five approximately equal annual installments beginning on April 6, 2011
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