Initial Statement of Beneficial Ownership (3)
June 30 2021 - 4:16PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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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1. Name and Address of Reporting Person
*
Johnson Troy R |
2. Date of Event Requiring Statement (MM/DD/YYYY)
6/24/2021
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3. Issuer Name and Ticker or Trading Symbol
APOGEE ENTERPRISES, INC. [APOG]
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(Last)
(First)
(Middle)
C/O APOGEE ENTERPRISES, INC., 4400 WEST 78TH STREET, SUITE 520 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Pres, Architectural Services / |
(Street)
MINNEAPOLIS, MN 55435
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 34962 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Option (Right to Buy) | (2) | 6/30/2030 | Common Stock | 39000 | $23.04 | D | |
Performance Share Units | (3) | 4/20/2024 | Common Stock | 3241 | $0.00 | D | |
Explanation of Responses: |
(1) | Includes shares acquired under the Employee Stock Purchase Plan as of 6/29/21 and shares of restricted stock granted under the 2019 Stock Incentive Plan. |
(2) | Exercisable as to 50% on the second anniversary of date of grant (6/30/20), with the remaining 50% exercisable on the third anniversary of date of grant (6/30/20), subject to the terms of the stock option agreement. |
(3) | The actual number of performance shares the reporting person will receive at the end of the performance period will be based on pre-determined corporate financial performance criteria. If the threshold level of performance is not met, no performance shares will be issued pursuant to the Performance Award Agreement. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Johnson Troy R C/O APOGEE ENTERPRISES, INC. 4400 WEST 78TH STREET, SUITE 520 MINNEAPOLIS, MN 55435 |
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| Pres, Architectural Services |
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Signatures
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/s/ Meghan M. Elliott, Attorney-in-Fact for Troy R. Johnson | | 6/30/2021 |
**Signature of Reporting Person | Date |
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