0001209191-20-028565.txt : 20200512 0001209191-20-028565.hdr.sgml : 20200512 20200512170840 ACCESSION NUMBER: 0001209191-20-028565 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200508 FILED AS OF DATE: 20200512 DATE AS OF CHANGE: 20200512 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: 20869995 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 2020-05-08 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 2020-05-08 4 M 0 3000 31.76 A 40511 D Class A Common Stock 2020-05-08 4 F 0 2950 32.63 D 37561 D Class A Common Stock 2020-05-11 4 S 0 50 32.44 D 37511 D Class A Common Stock 3876 I By Spouse Class A Common Stock 15208 I By LLC Units 1881.283 I By 401(k) Plan Common Stock 159950 D Common Stock 6938 I By Spouse Common Stock 7604 I By LLC Stock Option (Right to Buy) 31.76 2020-05-08 4 M 0 3000 0.00 D 2020-08-14 Class A Common Stock 3000 3298 D Options exercised under sales plan pursuant to Rule 10b5-1(c)(1) of the Securities Exchange Act of 1934, as amended. 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. 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 options will become exercisable at each of 6 months, 18 months, and 30 months after February 14, 2017, the date of the grant. /s/JoAnn Jonte as Attorney-in-Fact for Brooks Pennington 2020-05-11