0001209191-18-031140.txt : 20180517
0001209191-18-031140.hdr.sgml : 20180517
20180517181158
ACCESSION NUMBER: 0001209191-18-031140
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180515
FILED AS OF DATE: 20180517
DATE AS OF CHANGE: 20180517
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: PENNINGTON BROOKS III
CENTRAL INDEX KEY: 0001057369
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33268
FILM NUMBER: 18844495
MAIL ADDRESS:
STREET 1: 1280 ATLANTA HWY
CITY: MADISON
STATE: GA
ZIP: 30650
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: CENTRAL GARDEN & PET CO
CENTRAL INDEX KEY: 0000887733
STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-MISCELLANEOUS NONDURABLE GOODS [5190]
IRS NUMBER: 680275553
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0926
BUSINESS ADDRESS:
STREET 1: 1340 TREAT BOULEVARD
STREET 2: SUITE 600
CITY: WALNUT CREEK
STATE: CA
ZIP: 94597
BUSINESS PHONE: 9259484000
MAIL ADDRESS:
STREET 1: 1340 TREAT BOULEVARD
STREET 2: SUITE 600
CITY: WALNUT CREEK
STATE: CA
ZIP: 94597
FORMER COMPANY:
FORMER CONFORMED NAME: CENTRAL GARDEN & PET COMPANY
DATE OF NAME CHANGE: 19941019
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-05-15
0
0000887733
CENTRAL GARDEN & PET CO
CENT
0001057369
PENNINGTON BROOKS III
1340 TREAT BLVD
SUITE 600
WALNUT CREEK
CA
94597
1
0
0
0
Class A Common Stock
2018-05-15
4
M
0
10284
9.86
A
46754
D
Class A Common Stock
2018-05-15
4
F
0
5103
37.28
D
41651
D
Class A Common Stock
2018-05-16
4
S
0
5181
37.6418
D
36470
D
Class A Common Stock
3876
I
By Spouse
Class A Common Stock
15208
I
By LLC
Units
1595.59
I
By 401(k) Account
Common Stock
159950
D
Common Stock
6938
I
By Spouse
Common Stock
7604
I
By LLC
Common Stock
40040
I
By LP
Stock Option (Right to Buy)
9.86
2018-05-15
4
M
0
10284
0.00
D
2018-08-10
Class A Common Stock
10284
0
D
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.
Sale effected under sales plan pursuant to Rule 10b5-1(c)(1) of the Securities Exchange Act of 1934, as amended.
The range of prices for the shares of Common Stock is from $37.40 to $37.84. Mr. Pennington 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.
Mr. Pennington disclaims beneficial ownership of 3,876 shares of the Issuer's Class A Common Stock owned by his spouse and 6,938 shares of the Issuer's Common Stock owned by his spouse.
By Pennington Management Company II, LLC, in which Mr. Pennington has an ownership interest. Mr. Pennington is the President of Pennington Management Company II, LLC. Mr. Pennington disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
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.
By BPCB Partners L.P. The general managing partner of BPCB Partners L.P. is BPCB Management Company LLC ("BPCBLLC") and Mr. Pennington is the sole member of BPCBLLC. Mr. Pennington disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
One-third of the total options granted became exercisable at each of 6 months, 18 months and 30 months after February 10, 2015, the date of the grant.
/s/Brooks Pennington III
2018-05-17