0001354327-20-000001.txt : 20200123
0001354327-20-000001.hdr.sgml : 20200123
20200123172945
ACCESSION NUMBER: 0001354327-20-000001
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200121
FILED AS OF DATE: 20200123
DATE AS OF CHANGE: 20200123
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hershberger Rodney
CENTRAL INDEX KEY: 0001366252
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37971
FILM NUMBER: 20543102
MAIL ADDRESS:
STREET 1: PGT, INC.
STREET 2: 1070 TECHNOLOGY DRIVE
CITY: NORTH VENICE
STATE: FL
ZIP: 34275
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: PGT Innovations, Inc.
CENTRAL INDEX KEY: 0001354327
STANDARD INDUSTRIAL CLASSIFICATION: METAL DOORS, SASH, FRAMES, MOLDING & TRIM [3442]
IRS NUMBER: 200634715
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1228
BUSINESS ADDRESS:
STREET 1: 1070 TECHNOLOGY DRIVE
CITY: NORTH VENICE
STATE: FL
ZIP: 34275
BUSINESS PHONE: 941-480-1600
MAIL ADDRESS:
STREET 1: 1070 TECHNOLOGY DRIVE
CITY: NORTH VENICE
STATE: FL
ZIP: 34275
FORMER COMPANY:
FORMER CONFORMED NAME: PGT, Inc.
DATE OF NAME CHANGE: 20060223
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4
2020-01-21
0
0001354327
PGT Innovations, Inc.
PGTI
0001366252
Hershberger Rodney
PGT, INC.
1070 TECHNOLOGY DRIVE
NORTH VENICE
FL
34275
1
0
0
0
PGTI Common Stock
2020-01-21
4
M
0
25000
2
A
1366345
D
PGTI Common Stock
2020-01-21
4
S
0
10151
15.96
D
1356194
D
PGTI Common Stock
2020-01-22
4
M
0
25000
2
A
1381194
D
PGTI Common Stock
2020-01-22
4
S
0
7175
16.12
D
1374019
D
Stock Option (Right to Buy)
2
2020-01-21
4
M
0
25000
0
D
2020-04-06
Common Stock
25000
126754
D
Stock Option (Right to Buy)
2
2020-01-22
4
M
0
25000
0
D
2020-04-06
Common Stock
25000
101754
D
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.
RODNEY HERSHBERGER
2020-01-23