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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $ 2.04 | 11/21/2017 | M | 29,200 | (3) | 05/03/2022 | PGTI Common Stock | 29,200 | $ 0 | 72,495 (4) | D | ||||
Stock Option (Right to Buy) | $ 2.04 | 11/22/2017 | M | 20,800 | (3) | 05/03/2022 | PGTI Common Stock | 20,800 | $ 0 | 51,695 (5) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Feintuch Richard D 1070 TECHNOLOGY DRIVE NORTH VENICE, FL 34275 |
X |
\s\ Richard D. Feintuch | 11/24/2017 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $16.05 to $16.15 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(2) | The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $15.90 to $16.10 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(3) | An aggregate of 101,695 stock options were granted to the reporting person on May 3, 2012. The dates on which those options became exercisable are as follows: 33,898 became exercisable on the grant date and 67,797 became exercisable in two approximately equal installments on each of May 3, 2013 and May 3, 2014. |
(4) | Represents the remaining number of exercisable stock options granted to the reporting person on May 3, 2012 that had not yet been exercised after giving effect to the reported transaction. |
(5) | Represents the currently-remaining number of exersisable stock options granted to the reporting person on May 3, 2012 that have not yet been exercised. |