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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Class A Common Stock | $ 6.43 | 05/11/2017 | M | 6,250 | (4) | 03/31/2019 | Class A Common Stock | 6,250 | $ 0 | 6,250 | D | ||||
Class A Common Stock | $ 6.43 | 05/12/2017 | M | 6,250 | (4) | 03/31/2019 | Class A Common Stock | 6,250 | $ 0 | 0 | D | ||||
Class A Common Stock | $ 10.63 | 05/11/2017 | M | 6,250 | (5) | 03/31/2021 | Class A Common Stock | 6,250 | $ 0 | 31,250 | D | ||||
Class A Common Stock | $ 10.63 | 05/12/2017 | M | 6,250 | (5) | 03/31/2021 | Class A Common Stock | 6,250 | $ 0 | 25,000 | D | ||||
Class A Common Stock | $ 13.82 | 05/11/2017 | M | 6,250 | (6) | 01/29/2022 | Class A Common Stock | 6,250 | $ 0 | 43,750 | D | ||||
Class A Common Stock | $ 13.82 | 05/12/2017 | M | 6,250 | (6) | 01/29/2022 | Class A Common Stock | 6,250 | $ 0 | 37,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Reed Michael A C/O CENTRAL GARDEN & PET COMPANY 1340 TREAT BLVD, SUITE 600 WALNUT CREEK, CA 94597 |
Executive Vice President |
/s/Michael Reed | 05/14/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The range of prices for the shares of Class A Common Stock is from $33.36 to $33.44. Mr. Reed undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price. |
(2) | Shares withheld by the Issuer in payment of the aggregate option exercise price and withholding tax liability incurred upon the above-reported exercise of options. The amount of shares withheld is based on the respective average of the high and low sales prices on the date of exercise. |
(3) | The range of prices for the shares of Class A Common Stock is from $32.97 to $33.01. Mr. Reed undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price. |
(4) | Options were granted on August 12, 2013 and all shares are vested & exercisable. |
(5) | On April 16, 2015, the reporting person was granted an option to purchase 50,000 shares of Class A Common Stock of the Issuer. The option vests in four equal annual installments beginning March 31, 2016. |
(6) | On January 29, 2016, the reporting person was granted an option to purchase 50,000 shares of Class A Common Stock of the Issuer. The option vests in four equal annual installments beginning January 29, 2017. |