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Hershberger Rodney – ‘4’ for 1/21/20 re: PGT Innovations, Inc.

On:  Thursday, 1/23/20, at 5:29pm ET   ·   For:  1/21/20   ·   Accession #:  1354327-20-1   ·   File #:  1-37971

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 1/23/20  Hershberger Rodney                4                      1:12K  PGT Innovations, Inc.             PGT Innovations, Inc.

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      3K 
                Securities by an Insider -- primary_doc.xml/3.6


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
Plain Text rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
                                                                                                                                                                                
Ownership Document
 
Schema Version:  X0306
Document Type:  4
Period of Report:  1/21/20
Not Subject to Section 16:  0
Issuer:
Issuer CIK:  1354327
Issuer Name:  PGT Innovations, Inc.
Issuer Trading Symbol:  PGTI
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1366252
Owner Name:  Hershberger Rodney
Reporting Owner Address:
Owner Street 1:  PGT, INC.
Owner Street 2:  1070 TECHNOLOGY DRIVE
Owner City:  NORTH VENICE
Owner State:  FL
Owner ZIP Code:  34275
Owner State Description:
Reporting Owner Relationship:
Is Director?  Yes
Is Officer?  No
Is Ten Percent Owner?  No
Is Other?  No
Non-Derivative Table:
Non-Derivative Transaction:
Security Title:
Value:  PGTI Common Stock
Transaction Date:
Value:  1/21/20
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  25,000
Footnote ID:  F1
Transaction Price Per Share:
Value:  2
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  1,366,345
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  PGTI Common Stock
Transaction Date:
Value:  1/21/20
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  S
Equity Swap Involved?  No
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  10,151
Footnote ID:  F2
Transaction Price Per Share:
Value:  15.96
Footnote ID:  F3
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  1,356,194
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  PGTI Common Stock
Transaction Date:
Value:  1/22/20
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  25,000
Footnote ID:  F1
Transaction Price Per Share:
Value:  2
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  1,381,194
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  PGTI Common Stock
Transaction Date:
Value:  1/22/20
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  S
Equity Swap Involved?  No
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  7,175
Footnote ID:  F2
Transaction Price Per Share:
Value:  16.12
Footnote ID:  F4
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  1,374,019
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Table:
Derivative Transaction:
Security Title:
Value:  Stock Option (Right to Buy)
Conversion or Exercise Price:
Value:  2
Transaction Date:
Value:  1/21/20
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  25,000
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F5
Expiration Date:
Value:  4/6/20
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  25,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  126,754
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Transaction:
Security Title:
Value:  Stock Option (Right to Buy)
Conversion or Exercise Price:
Value:  2
Transaction Date:
Value:  1/22/20
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  25,000
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F5
Expiration Date:
Value:  4/6/20
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  25,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  101,754
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Footnotes:
Footnote - F1:  This transaction was executed pursuant to a Rule 10b5-1 trading plan (the Plan) executed by the reporting person, whereby the reporting person expects to exercise approximately 50,000 stock options each calendar month, until all remaining stock options held by the reporting person have been exercised. Pursuant to the Plan, the reporting person expects to exercise approximately 25,000 stock options on each of the third Monday and Tuesday of each calendar month, holidays permitting. Because the third Monday of January 2020 fell on January 20, 2020, a Federal holiday, when trading markets were closed, the reporting person exercised 25,000 options on Wednesday, January 22, 2020.
Footnote - F2:  Shares sold by the reporting person in order to cover both the aggregate exercise price of the options being exercised and taxes arising from that exercise of options.
Footnote - F3:  This transaction was executed in multiple trades ranging from $15.86 to $16.05 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.
Footnote - F4:  This transaction was executed in multiple trades ranging from $15.87 to $16.25 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.
Footnote - F5:  An aggregate of 972,026 options exercisable in five approximately equal annual installments beginning on April 6, 2011.
Owner Signature:
Signature Name:  RODNEY HERSHBERGER
Signature Date:  1/23/20


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