Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-20-037236
Date:2020-06-16
Issuer: CENTRAL GARDEN & PET CO (CENT)
Original Submission Date:

Reporting Person:

PENNINGTON BROOKS III
1340 TREAT BLVD
SUITE 600 WALNUT CREEK, CA 94597

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
CLASS A COMMON STOCK 2020-06-16 M 3,298 a $31.76 40,809 direct
CLASS A COMMON STOCK 2020-06-16 F 3,231 d $32.81 37,578 direct
CLASS A COMMON STOCK 2020-06-17 S 67 d $33.13 37,511 direct
CLASS A COMMON STOCK 2020-06-16 0 $0.00 3,876 indirect f4
CLASS A COMMON STOCK 2020-06-16 0 $0.00 15,208 indirect f5
UNITS 2020-06-16 0 $0.00 1,881 indirect f6
COMMON STOCK 2020-06-16 0 $0.00 159,950 direct
COMMON STOCK 2020-06-16 0 $0.00 6,938 indirect f4
COMMON STOCK 2020-06-16 0 $0.00 7,604 indirect f5
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 31.76 2020-06-16 deemed execution date M 3,298 (d) 2020-08-14 class a common stock 3,298 $31.76 0 direct
Footnotes
IDfootnote
f1 options exercised under sales plan pursuant to rule 10b5-1(c)(1) of the securities exchange act of 1934, as amended.
f2 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 anf low sales prices on the date of exercise.
f3 sale effected under sales plan pursuant to rule 10b5-1(c)(1) of the securities exchange act of 1934, as amended.
f4 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.
f5 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.
f6 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.
f7 options were granted on february 14, 2017, and all shares are vested and have been exercised.
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