Statement of Changes in Beneficial Ownership (4)
20 May 2021 - 9:02PM
Edgar (US Regulatory)
FORM 4
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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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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
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BAILEY SALLIE B |
2. Issuer Name and Ticker or Trading Symbol
AZEK Co Inc.
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AZEK
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
1330 W. FULTON STREET, SUITE 350 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/18/2021 |
(Street)
CHICAGO, IL 60607
(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 | 5/18/2021 | | M | | 1903 (1) | A | $0.00 | 61629 | D | |
Class A Common Stock | 5/18/2021 | | A | | 1982 (2) | A | $0.00 | 63611 (3) | D | |
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 |
Restricted Stock Units (RSUs) | (1) | 5/18/2021 | | M | | | 1903 | (4) | (4) | Common Stock | 1903 | $0.00 | 4566 | D | |
Explanation of Responses: |
(1) | Vesting of previously awarded restricted stock units. Restricted stock units convert into common stock on a one-for-one basis. |
(2) | Grant of time-vesting restricted stock units made to directors on May 18, 2021 pursuant to Rule 16b-3(d) plan that will vest on the earlier of (x) the one-year anniversary of the date of grant and (y) the Issuer's next annual stockholder meeting. |
(3) | Includes (i) 1,982 restricted stock units that vest on the earlier of (x) the one-year anniversary of the date of grant and (y) the Issuer's next annual stockholder meeting and (ii) 4,566 restricted stock units that will vest on June 16, 2023 subject to continued service through the vesting date. |
(4) | On June 16, 2020, the Reporting Person was granted 1,903 restricted stock units that vested on the earlier of (x) the one-year anniversary of the date of grant and (y) the Issuer's annual stockholder meeting for the following year. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
BAILEY SALLIE B 1330 W. FULTON STREET SUITE 350 CHICAGO, IL 60607 | X |
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Signatures
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/s/ Morgan Fox Walbridge, as Attorney-in-Fact for Sallie Bailey | | 5/20/2021 |
**Signature of Reporting Person | Date |
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