Form 4 for JELD JELD-WEN Holding, Inc.
Accepted 2021-12-15 00:00:00 ET · period of report 2021-12-13 · accession 0001674335-21-000113 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2021-12-15 | 2021-12-13 | JELD | Wendt Roderick | Dir, Vice COB | M - OptEx | $15.26 | +141.7K | 3.54M | +4% | +$2.16M |
| DI | 2021-12-15 | 2021-12-13 | JELD | Wendt Roderick | Dir, Vice COB | S - Sale+OE | $25.29 | -106.4K | 3.43M | -3% | -$2.69M |
| DM | 2021-12-15 | 2021-12-13 | JELD | Wendt Roderick | Dir, Vice COB | M - OptEx | $0.00 | -141.7K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-12-13 | M | A | 99,198 | $12.47 | 3,493,532 | I See footnotes | — | — | (F1) Includes (i) 22,352 shares of common stock held through the Company's ESOP; (ii) 8,767 shares of common stock held through the Company's KSOP; (iii) 253,121 shares of common stock held through the Wendt Family Foundation; (iv) 2,806,485 shares of common stock held through The Richard Lester Wendt Revocable Living Trust; (v) 339,559 shares of common stock held through the RC Wendt Revocable Trust; and (vi) 26,400 shares of common stock held through the Roderick Wendt GST Trust. The reporting person is one of nine trustees of the Wendt Family Foundation. The reporting person is one of three trustees, each of whom are members of the reporting person's immediate family, of The Richard Lester Wendt Revocable Living Trust. The reporting person is the sole trustee of the RC Wendt Revocable Trust and the Roderick Wendt GST Trust. (F2) The reporting person has or shares voting and investment control of shares held by the Wendt Family Foundation, The Richard Lester Wendt Revocable Living Trust, the RC Wendt Revocable Trust and the Roderick Wendt GST Trust, and therefore may be deemed to have beneficial ownership of such shares. The reporting person is also the beneficiary of the RC Wendt Revocable Trust. The reporting person, as trustee and beneficiary of the RC Wendt Revocable Trust, has pledged 220,000 shares of common stock in the name of People's Bank to secure a loan obligation. |
| 2 | Common | Common Stock | 2021-12-13 | S | D | 106,400 | $25.29 | 3,429,603 | I See footnotes | — | — | (F3) Sale of common stock to cover option exercise price and related taxes pursuant to a Rule 10b5-1 plan entered into on November 12, 2021. (F1) Includes (i) 22,352 shares of common stock held through the Company's ESOP; (ii) 8,767 shares of common stock held through the Company's KSOP; (iii) 253,121 shares of common stock held through the Wendt Family Foundation; (iv) 2,806,485 shares of common stock held through The Richard Lester Wendt Revocable Living Trust; (v) 339,559 shares of common stock held through the RC Wendt Revocable Trust; and (vi) 26,400 shares of common stock held through the Roderick Wendt GST Trust. The reporting person is one of nine trustees of the Wendt Family Foundation. The reporting person is one of three trustees, each of whom are members of the reporting person's immediate family, of The Richard Lester Wendt Revocable Living Trust. The reporting person is the sole trustee of the RC Wendt Revocable Trust and the Roderick Wendt GST Trust. (F2) The reporting person has or shares voting and investment control of shares held by the Wendt Family Foundation, The Richard Lester Wendt Revocable Living Trust, the RC Wendt Revocable Trust and the Roderick Wendt GST Trust, and therefore may be deemed to have beneficial ownership of such shares. The reporting person is also the beneficiary of the RC Wendt Revocable Trust. The reporting person, as trustee and beneficiary of the RC Wendt Revocable Trust, has pledged 220,000 shares of common stock in the name of People's Bank to secure a loan obligation. |
| 3 | Common | Common Stock | 2021-12-13 | M | A | 42,471 | $21.77 | 3,536,003 | I See footnotes | — | — | (F1) Includes (i) 22,352 shares of common stock held through the Company's ESOP; (ii) 8,767 shares of common stock held through the Company's KSOP; (iii) 253,121 shares of common stock held through the Wendt Family Foundation; (iv) 2,806,485 shares of common stock held through The Richard Lester Wendt Revocable Living Trust; (v) 339,559 shares of common stock held through the RC Wendt Revocable Trust; and (vi) 26,400 shares of common stock held through the Roderick Wendt GST Trust. The reporting person is one of nine trustees of the Wendt Family Foundation. The reporting person is one of three trustees, each of whom are members of the reporting person's immediate family, of The Richard Lester Wendt Revocable Living Trust. The reporting person is the sole trustee of the RC Wendt Revocable Trust and the Roderick Wendt GST Trust. (F2) The reporting person has or shares voting and investment control of shares held by the Wendt Family Foundation, The Richard Lester Wendt Revocable Living Trust, the RC Wendt Revocable Trust and the Roderick Wendt GST Trust, and therefore may be deemed to have beneficial ownership of such shares. The reporting person is also the beneficiary of the RC Wendt Revocable Trust. The reporting person, as trustee and beneficiary of the RC Wendt Revocable Trust, has pledged 220,000 shares of common stock in the name of People's Bank to secure a loan obligation. |
| 4 | Derivative | Common Stock Option (Right to Buy) | 2021-12-13 | M | D | 42,471 | $0.00 | 0 | D | $21.77 · — to 2021-12-20 | 42,471 Common Stock | (F4) This option is fully vested. |
| 5 | Derivative | Common Stock Option (Right to Buy) | 2021-12-13 | M | D | 99,198 | $0.00 | 0 | D | $12.47 · — to 2021-12-20 | 99,198 Common Stock | (F4) This option is fully vested. |