Statement of Changes in Beneficial Ownership (4)
November 24 2017 - 5:42PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
Feintuch Richard D
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2. Issuer Name
and
Ticker or Trading Symbol
PGT Innovations, Inc.
[
PGTI
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
1070 TECHNOLOGY DRIVE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
11/21/2017
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(Street)
NORTH VENICE, FL 34275
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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PGTI Common Stock
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11/21/2017
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M
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29200
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A
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$2.04
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75508
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D
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PGTI Common Stock
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11/21/2017
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S
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29200
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D
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$16.07
(1)
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46308
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D
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PGTI Common Stock
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11/22/2017
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M
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20800
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A
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$2.04
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67108
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D
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PGTI Common Stock
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11/22/2017
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S
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20800
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D
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$16.01
(2)
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46308
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (Right to Buy)
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$2.04
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11/21/2017
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M
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29200
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(3)
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5/3/2022
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PGTI Common Stock
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29200
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$0.00
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72495
(4)
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D
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Stock Option (Right to Buy)
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$2.04
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11/22/2017
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M
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20800
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(3)
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5/3/2022
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PGTI Common Stock
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20800
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$0.00
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51695
(5)
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D
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Explanation of Responses:
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(1)
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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.
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(2)
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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.
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(3)
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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.
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(4)
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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.
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(5)
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Represents the currently-remaining number of exersisable stock options granted to the reporting person on May 3, 2012 that have not yet been exercised.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Feintuch Richard D
1070 TECHNOLOGY DRIVE
NORTH VENICE, FL 34275
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X
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Signatures
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s Richard D. Feintuch
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11/24/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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