Filing Details
- Accession Number:
- 0001354327-20-000001
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-01-23 17:29:45
- Reporting Period:
- 2020-01-21
- Accepted Time:
- 2020-01-23 17:29:45
- 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 | 2020-01-21 | 25,000 | $2.00 | 1,366,345 | No | 4 | M | Direct | |
| Pgti Common Stock | Disposition | 2020-01-21 | 10,151 | $15.96 | 1,356,194 | No | 4 | S | Direct | |
| Pgti Common Stock | Acquisiton | 2020-01-22 | 25,000 | $2.00 | 1,381,194 | No | 4 | M | Direct | |
| Pgti Common Stock | Disposition | 2020-01-22 | 7,175 | $16.12 | 1,374,019 | 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) | Disposition | 2020-01-21 | 25,000 | $0.00 | 25,000 | $2.00 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-01-22 | 25,000 | $0.00 | 25,000 | $2.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 126,754 | 2020-04-06 | No | 4 | M | Direct | |
| 101,754 | 2020-04-06 | No | 4 | M | Direct |
Footnotes
- This transaction was executed pursuant to a Rule 10b5-1 trading plan (the Plan) executed by the reporting person, whereby the reporting person expects to exercise approximately 50,000 stock options each calendar month, until all remaining stock options held by the reporting person have been exercised. Pursuant to the Plan, the reporting person expects to exercise approximately 25,000 stock options on each of the third Monday and Tuesday of each calendar month, holidays permitting. Because the third Monday of January 2020 fell on January 20, 2020, a Federal holiday, when trading markets were closed, the reporting person exercised 25,000 options on Wednesday, January 22, 2020.
- 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 $15.86 to $16.05 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 $15.87 to $16.25 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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