SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 02/14/2017 | 3. Issuer Name and Ticker or Trading Symbol CENTRAL GARDEN & PET CO [ CENT ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Units | 50.9039 | I | By 401(k) Plan(1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (Right to Buy) | (2) | 03/31/2021 | Class A Common Stock | 37,500 | 10.63 | D | |
Stock Option (Right to Buy) | (3) | 01/29/2022 | Class A Common Stock | 50,000 | 13.82 | D | |
Stock Option (Right to Buy) | (4) | 01/20/2023 | Class A Common Stock | 14,690 | 30.94 | D |
Explanation of Responses: |
1. 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. |
2. Options were granted on April 16, 2015, of which 12,500 have vested and been exercised and the remaining 37,500 shares will vest and be exercisable as follows: 12,500 shares on March 31, 2017; 12,500 shares on March 31, 2018; and 12,500 shares on March 31, 2019. |
3. Options were granted on January 29, 2016, of which 12,500 have vested and are exercisable and the remaining 37,500 shares will vest and be exercisable as follows: 12,500 shares on January 29, 2018; 12,500 shares on January 29, 2019; and 12,500 shares on January 29, 2020. |
4. The options shall vest in four increments of 25% on January 20, 2018, 2019, 2020, and 2021. |
Remarks: |
Exhibit 24.1: Power of Attorney |
/s/ Kay Schwichtenberg | 02/21/2017 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |