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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
 
 
XML Data rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
                                                                                                                                                                                
<?xml version="1.0" encoding="windows-1252"?>
<ownershipDocument>
<schemaVersion> X0306 </schemaVersion>
<documentType> 4 </documentType>
<periodOfReport> 2020-01-21 </periodOfReport>
<notSubjectToSection16> 0 </notSubjectToSection16>
<issuer>
<issuerCik> 0001354327 </issuerCik>
<issuerName> PGT Innovations, Inc. </issuerName>
<issuerTradingSymbol> PGTI </issuerTradingSymbol>
</issuer>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001366252 </rptOwnerCik>
<rptOwnerName> Hershberger Rodney </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> PGT, INC. </rptOwnerStreet1>
<rptOwnerStreet2> 1070 TECHNOLOGY DRIVE </rptOwnerStreet2>
<rptOwnerCity> NORTH VENICE </rptOwnerCity>
<rptOwnerState> FL </rptOwnerState>
<rptOwnerZipCode> 34275 </rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isDirector> 1 </isDirector>
<isOfficer> 0 </isOfficer>
<isTenPercentOwner> 0 </isTenPercentOwner>
<isOther> 0 </isOther>
</reportingOwnerRelationship>
</reportingOwner>
<nonDerivativeTable>
<nonDerivativeTransaction>
<securityTitle>
<value> PGTI Common Stock </value>
</securityTitle>
<transactionDate>
<value> 2020-01-21 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> M </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionTimeliness>
<value></value>
</transactionTimeliness>
<transactionAmounts>
<transactionShares>
<value> 25000 </value>
<footnoteId id="F1"/>
</transactionShares>
<transactionPricePerShare>
<value> 2 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> A </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 1366345 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</nonDerivativeTransaction>
<nonDerivativeTransaction>
<securityTitle>
<value> PGTI Common Stock </value>
</securityTitle>
<transactionDate>
<value> 2020-01-21 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> S </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionTimeliness>
<value></value>
</transactionTimeliness>
<transactionAmounts>
<transactionShares>
<value> 10151 </value>
<footnoteId id="F2"/>
</transactionShares>
<transactionPricePerShare>
<value> 15.96 </value>
<footnoteId id="F3"/>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> D </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 1356194 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</nonDerivativeTransaction>
<nonDerivativeTransaction>
<securityTitle>
<value> PGTI Common Stock </value>
</securityTitle>
<transactionDate>
<value> 2020-01-22 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> M </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionTimeliness>
<value></value>
</transactionTimeliness>
<transactionAmounts>
<transactionShares>
<value> 25000 </value>
<footnoteId id="F1"/>
</transactionShares>
<transactionPricePerShare>
<value> 2 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> A </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 1381194 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</nonDerivativeTransaction>
<nonDerivativeTransaction>
<securityTitle>
<value> PGTI Common Stock </value>
</securityTitle>
<transactionDate>
<value> 2020-01-22 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> S </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionTimeliness>
<value></value>
</transactionTimeliness>
<transactionAmounts>
<transactionShares>
<value> 7175 </value>
<footnoteId id="F2"/>
</transactionShares>
<transactionPricePerShare>
<value> 16.12 </value>
<footnoteId id="F4"/>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> D </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 1374019 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</nonDerivativeTransaction>
</nonDerivativeTable>
<derivativeTable>
<derivativeTransaction>
<securityTitle>
<value> Stock Option (Right to Buy) </value>
</securityTitle>
<conversionOrExercisePrice>
<value> 2 </value>
</conversionOrExercisePrice>
<transactionDate>
<value> 2020-01-21 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> M </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionTimeliness>
<value></value>
</transactionTimeliness>
<transactionAmounts>
<transactionShares>
<value> 25000 </value>
</transactionShares>
<transactionPricePerShare>
<value> 0 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> D </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<exerciseDate>
<footnoteId id="F5"/>
</exerciseDate>
<expirationDate>
<value> 2020-04-06 </value>
</expirationDate>
<underlyingSecurity>
<underlyingSecurityTitle>
<value> Common Stock </value>
</underlyingSecurityTitle>
<underlyingSecurityShares>
<value> 25000 </value>
</underlyingSecurityShares>
</underlyingSecurity>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 126754 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</derivativeTransaction>
<derivativeTransaction>
<securityTitle>
<value> Stock Option (Right to Buy) </value>
</securityTitle>
<conversionOrExercisePrice>
<value> 2 </value>
</conversionOrExercisePrice>
<transactionDate>
<value> 2020-01-22 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> M </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionTimeliness>
<value></value>
</transactionTimeliness>
<transactionAmounts>
<transactionShares>
<value> 25000 </value>
</transactionShares>
<transactionPricePerShare>
<value> 0 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> D </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<exerciseDate>
<footnoteId id="F5"/>
</exerciseDate>
<expirationDate>
<value> 2020-04-06 </value>
</expirationDate>
<underlyingSecurity>
<underlyingSecurityTitle>
<value> Common Stock </value>
</underlyingSecurityTitle>
<underlyingSecurityShares>
<value> 25000 </value>
</underlyingSecurityShares>
</underlyingSecurity>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 101754 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</derivativeTransaction>
</derivativeTable>
<footnotes>
<footnote id="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>
<footnote id="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>
<footnote id="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>
<footnote id="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>
<footnote id="F5"> An aggregate of 972,026 options exercisable in five approximately equal annual installments beginning on April 6, 2011. </footnote>
</footnotes>
<ownerSignature>
<signatureName> RODNEY HERSHBERGER </signatureName>
<signatureDate> 2020-01-23 </signatureDate>
</ownerSignature>
</ownershipDocument>


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