Statement of Changes in Beneficial Ownership (4)
12 May 2021 - 7:31AM
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
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3235-0287
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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
*
Hanson John Edward |
2. Issuer Name and Ticker or Trading Symbol
CENTRAL GARDEN & PET CO
[
CENT
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Senior Vice President |
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(Last)
(First)
(Middle)
1340 TREAT BOULEVARD, SUITE 600 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/7/2021 |
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(Street)
WALNUT CREEK, CA 94597-7578
(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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| Class A Common Stock | 5/7/2021 | | M | | 4782 | A | $27.88 | 49892 | D | |
| Class A common Stock | 5/7/2021 | | F(1) | | 1501 | D | $53.62 | 48391 | D | |
| Class A Common Stock | 5/7/2021 | | M | | 7022 | A | $21.37 | 55413 | D | |
| Class A Common Stock | 5/7/2021 | | F(1) | | 2762 | D | $53.62 | 52651 | D | |
| Class A Common Stock | 5/7/2021 | | M | | 5263 | A | $28.50 | 57914 | D | |
| Class A Common Stock | 5/7/2021 | | F(1) | | 1612 | D | $53.62 | 56302 | D | |
| Units | | | | | | | | 1156 | I | By 401(k) Plan (2) |
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) | 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 |
| Stock Option (Right to Buy) | $27.88 | 5/7/2021 | | M | | | 4782 | (3) | 2/12/2025 | Class A Common Stock | 4782 | $0.00 | 4782 | D | |
| Stock Option (Right to Buy) | $21.37 | 5/7/2021 | | M | | | 7022 | (4) | 8/4/2025 | Class A Common Stock | 7022 | $0.00 | 21068 | D | |
| Stock Option (Right to Buy) | $28.50 | 5/7/2021 | | M | | | 5263 | (5) | 2/10/2026 | Class A Common Stock | 5263 | $0.00 | 15790 | D | |
| Explanation of Responses: |
| (1) | 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. |
| (2) | The units represent interests in the CENTA Stock Fund in the Issuer's 401(k) Plan, which consist of shares of CENTA stock and cash. |
| (3) | Options were granted on February 12, 2019, of which 2,391 have vested and are exercisable, and the remaining 4,783 shares will vest and be exercisable as follows: 2,391 shares on August 12, 2020; and 2,392 shares on August 12, 2021. |
| (4) | Options were granted on August 4, 2019 and will vest and be exercisable as follows: 7,022 on August 4, 2020; 7,023 on August 4, 2021; 7,022 on August 4, 2022; and 7,023 on August 4, 2023. |
| (5) | Options were granted on February 10, 2020 and shall vest and be exercisable in four annual increments of 25% beginning on February 10, 2021. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Hanson John Edward
1340 TREAT BOULEVARD
SUITE 600
WALNUT CREEK, CA 94597-7578 |
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| Senior Vice President |
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Signatures
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| /s/ John E. Hanson | | 5/11/2021 |
| **Signature of Reporting Person | Date |
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