Filing Details
- Accession Number:
- 0001354327-19-000023
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2019-04-08 17:15:18
- Reporting Period:
- 2018-12-13
- Accepted Time:
- 2019-04-08 17:15:18
- Original Submission Date:
- 2018-12-17
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1354327 | Pgt Innovations Inc. | PGTI | Metal Doors, Sash, Frames, Moldings & Trim (3442) | 200634715 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1366252 | Rodney Hershberger | Pgt, Inc. 1070 Technology Drive North Venice FL 34275 | Yes | No | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Pgti Common Stock | Acquisiton | 2018-12-13 | 38,660 | $2.00 | 1,106,139 | No | 4 | M | Direct | |
| Pgti Common Stock | Disposition | 2018-12-13 | 17,934 | $17.23 | 1,088,205 | No | 4 | S | Direct | |
| Pgti Common Stock | Acquisiton | 2018-12-14 | 31,612 | $2.00 | 1,119,817 | No | 4 | M | Direct | |
| Pgti Common Stock | Disposition | 2018-12-14 | 14,695 | $17.00 | 1,105,122 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | 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) | Acquisiton | 2018-12-13 | 38,660 | $0.00 | 38,660 | $2.00 |
| Common Stock | Stock Option (Right to Buy) | Acquisiton | 2018-12-14 | 31,612 | $0.00 | 31,612 | $2.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 633,366 | 2020-04-06 | No | 4 | M | Direct | |
| 601,754 | 2020-04-06 | No | 4 | M | Direct |
Footnotes
- This transaction was executed pursuant to a letter of instruction from the reporting person whereby reporting person elected to exercise options granted on April 6, 2010.
- Shares sold by the reporting person in order to cover both the aggregate exercise price of the options being exercised and taxes arising from that exercise of options.
- This transaction was executed in multiple trades ranging from $17.01 to $17.41 per share. The price reported above represents the weighted-average sales price. The reporting person hereby undertakes to provide full information regarding the numbers of shares and prices at which the transactions were affected upon request by the SEC staff, the issuer, or a security holder of the issuer.
- This transaction was executed in multiple trades ranging from $17.00 to $17.01 per share. The price reported above represents the weighted-average sales price. The reporting person hereby undertakes to provide full information regarding the numbers of shares and prices at which the transactions were affected upon request by the SEC staff, the issuer, or a security holder of the issuer.
- An aggregate of 972,026 options exercisable in five approximately equal annual installments beginning on April 6, 2011.
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