0001209191-19-004201.txt : 20190117 0001209191-19-004201.hdr.sgml : 20190117 20190117161913 ACCESSION NUMBER: 0001209191-19-004201 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181101 FILED AS OF DATE: 20190117 DATE AS OF CHANGE: 20190117 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: 19531151 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: 0929 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 2018-11-01 0 0000887733 CENTRAL GARDEN & PET CO CENT 0001057369 PENNINGTON BROOKS III 1340 TREAT BLVD SUITE 600 WALNUT CREEK CA 94597 1 0 0 0 Common Stock 2018-11-01 4 G 0 40040 0.00 D 0 I by LP Class A Common Stock 2019-01-15 4 M 0 5000 13.75 A 41305 D Class A Common Stock 2019-01-15 4 F 0 3056 34.55 D 38249 D Class A Common Stock 2019-01-16 4 S 0 1944 34.6968 D 36305 D Class A Common Stock 3876 I by spouse Class A Common Stock 15208 I by LLC Units 1626.037 I by 401(k) account Common Stock 159950 D Common Stock 6938 I by spouse Common Stock 7604 I by LLC Stock option (right to buy) 13.75 2019-01-15 4 M 0 5000 0.00 D 2019-08-09 Class A Common Stock 5000 5000 D By BPCB Partners L.P. The general managing partner of BPCB Partners L.P. is BPCB Management Company LLC ("BPCBLLC") and Mr. Pennington is no longer a member of BPCBLLC and no longer has voting or dispositive power over the shares held by BPCB Partners L.P. 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 Class A Common Stock is from $34.46 to $34.86. 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. One-third of the total options granted became exercisable at each of 6 months, 18 months, and 30 months after February 9, 2016, the date of the grant. /s/Sonny Pennington 2019-01-17