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APOGEE ENTERPRISES, INC. — Director's Dealing 2014
Oct 9, 2014
32272_dirs_2014-10-09_025a7cb9-1ff3-4d7f-9f5b-3caaae3cce4b.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: APOGEE ENTERPRISES, INC. (APOG)
CIK: 0000006845
Period of Report: 2014-10-07
Reporting Person: PORTER JAMES S (Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-05-07 | Common Stock | G | 180 | — | Disposed | 133299 | Direct |
| 2014-07-15 | Common Stock | G | 120 | — | Disposed | 133179 | Direct |
| 2014-10-07 | Common Stock | M | 18058 | $24.19 | Acquired | 151237 | Direct |
| 2014-10-07 | Common Stock | D | 14598 | $38.39 | Disposed | 136639 | Direct |
| 2014-10-07 | Common Stock | M | 20289 | $21.59 | Acquired | 156928 | Direct |
| 2014-10-07 | Common Stock | D | 15690 | $38.39 | Disposed | 141238 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-10-07 | Stock Appreciation Rights | $24.19 | M | 18058 | Disposed | 2017-05-01 | Common Stock (18058) | Direct |
| 2014-10-07 | Stock Appreciation Rights | $21.59 | M | 20289 | Disposed | 2018-04-29 | Common Stock (20289) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1578 | Indirect |
Footnotes
F1: Includes shares acquired under the ESPP as of 9/30/14 and shares of restricted stock granted under the Amended and Restated 2002 Omnibus Stock Incentive Plan and 2009 Stock Incentive Plan.
F2: Represents the approximate number of shares of common stock for which the Reporting Person has the right to direct the vote under the Apogee 401(k) Retirement Plan per the Trustee's 9/30/14 statement. Shares of common stock are not directly allocated to the Plan participants, but are instead held in a unitized fund consisting primarily of common stock and a small percentage of short-term investments. Participants acquire units in this fund.
F3: Currently 100% exercisable.