Statement of Changes in Beneficial Ownership (4)
February 11 2021 - 06:46PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
|
OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
|
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
|
|
1. Name
and Address of Reporting Person * BROWN WILLIAM E |
2. Issuer Name and Ticker or Trading
Symbol CENTRAL GARDEN & PET CO [ CENT ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director __X__
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
Chairman |
(Last)
(First)
(Middle)
C/O CENTRAL GARDEN & PET COMPANY, 1340 TREAT BLVD.,
SUITE 600 |
3. Date of Earliest Transaction (MM/DD/YYYY)
2/9/2021
|
(Street)
WALNUT CREEK, CA 94597
(City)
(State)
(Zip)
|
4. 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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. 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 |
Class A Common Stock |
2/9/2021 |
|
A |
|
9087 (1) |
A |
$0.00 |
2031444 |
D |
|
Class A Common Stock |
|
|
|
|
|
|
|
246012 |
I |
By Irrevocable Trusts (2) |
Common Stock |
|
|
|
|
|
|
|
1388592 (3) |
D |
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. 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 |
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 of Derivative Security: 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) |
The Reporting Person was
awarded by the Issuer's Compensation Committee on February 9, 2021
a grant of 9,087 shares of restricted Class A Common Stock, which
will vest in increments of 33 1/3% per year commencing on the third
anniversary of the date of the grant. |
(2) |
These securities are owned
directly by various family Irrevocable Trusts and indirectly by the
Reporting Person and his spouse as co-trustees of the Irrevocable
Trusts. The Reporting Person and his spouse, as co-trustees, have
and share investment control over the securities held in each of
the Irrevocable Trusts but disclaim beneficial ownership of the
reported securities held by the Irrevocable Trusts except to the
extent of his and his wife's pecuniary interest
therein. |
(3) |
The amount of shares of the
Issuer's Common Stock beneficially owned in column 5 excludes
1,600,459 shares of Class B common stock, which is convertible into
Common Stock. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
BROWN WILLIAM E
C/O CENTRAL GARDEN & PET COMPANY
1340 TREAT BLVD., SUITE 600
WALNUT CREEK, CA 94597 |
X |
X |
Chairman |
|
Signatures
|
/s/ William E. Brown |
|
2/10/2021 |
**Signature of Reporting
Person |
Date |