FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
PGT Innovations, Inc. [ PGTI ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 03/01/2021 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) 03/05/2021 |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
PGTI Common Stock | 03/01/2021 | S | 5,000 | D | $23.74(1) | 35,892 | D | |||
PGTI Common Stock | 03/01/2021 | S | 5,000 | D | $24 | 30,892 | D | |||
PGTI Common Stock | 03/02/2021 | F | 950(2) | D | $24.45 | 29,942 | D | |||
PGTI Common Stock | 03/05/2021 | S | 5,267 | D | $24 | 24,675 | D | |||
PGTI Common Stock | 5,543 | I | In 401K Plan |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. This transaction was executed in multiple trades ranging from $23.71 to $23.82 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. |
2. Pursuant to a request from the reporting person, the Company withheld 950 shares to satisfy a tax withholding obligation in connection with stock awards on which the restrictions had lapsed. |
Remarks: |
This Form 4/A is being filed to amend the Form 4 filed on March 5, 2021 to (1) add the third line of Table 1, to report the withholding of 950 shares of issuer common stock to satisfy the tax withholding obligation of the reporting person in connection with stock awards on which the restrictions had lapsed on March 2, 2021, resulting in the amount of securities beneficially owned following the transaction reported on the third line of Table I, of 29,942 in Item 5 of this line, but which had not been reported before the filing of the Form 4 on March 5, 2021, which included a sale of shares that occurred on March 5, 2021, subsequent to the March 2, 2021 withholding of shares, and (2) change the amount of securities beneficially owned following the transaction reported on the fourth line of Table I, to 24,675 in Item 5 of this line, as a result of the change described in (1) herein. All other information reported on the Form 4 filed on March 5, 2021 is as it was originally reported. |
BRENT BOYDSTON | 03/11/2021 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |