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