# EDGAR Filing Document

**Accession Number:** 0001967734
**File Stem:** 0000950103-23-003918
**Filing Date:** 2023-3
**Character Count:** 7212
**Document Hash:** 2e8b413feae75f7fe26142b8e3608126
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000950103-23-003918.hdr.sgml**: 20230309

**ACCESSION NUMBER**: 0000950103-23-003918

**CONFORMED SUBMISSION TYPE**: 3

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20230227

**FILED AS OF DATE**: 20230309

**DATE AS OF CHANGE**: 20230309

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Henderson Craig
- **CENTRAL INDEX KEY:** 0001967734

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-37971
- **FILM NUMBER:** 23721274

**MAIL ADDRESS:**
- **STREET 1:** 1070 TECHNOLOGY DR.
- **CITY:** NORTH VENICE
- **STATE:** FL
- **ZIP:** 34275
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** PGT Innovations, Inc.
- **CENTRAL INDEX KEY:** 0001354327
- **STANDARD INDUSTRIAL CLASSIFICATION:** METAL DOORS, SASH, FRAMES, MOLDING & TRIM [3442]
- **IRS NUMBER:** 200634715
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 1070 TECHNOLOGY DRIVE
- **CITY:** NORTH VENICE
- **STATE:** FL
- **ZIP:** 34275
- **BUSINESS PHONE:** 941-480-1600

**MAIL ADDRESS:**
- **STREET 1:** 1070 TECHNOLOGY DRIVE
- **CITY:** NORTH VENICE
- **STATE:** FL
- **ZIP:** 34275

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PGT, Inc.
- **DATE OF NAME CHANGE:** 20060223

## Exhibit 24.1

**Exhibit 24.1**

Section 16

POWER OF ATTORNEY

I, Craig Henderson, do hereby constitute and appoint Ryan S. Quinn, my true and lawful attorneys-in-fact, either of whom acting singly is hereby authorized, for me and in my name and on my behalf as a director, officer and/or shareholder of PGT INNOVATIONS, INC. to (i) prepare, execute in my name and on my behalf, and submit to the U.S. Securities and Exchange Commission (the SEC) a Form ID, including any necessary amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling me to make electronic filings with the SEC of reports required by Section 16(a) of the Securities Exchange Act of 1934 or any rule or regulations of the SEC in respect thereof; and (ii) prepare, execute and file any and all forms, instruments or documents, including any necessary amendments thereto, as such attorneys or attorney deems necessary or advisable to enable me to comply with Section 16 of the Securities Exchange Act of 1934 or any rule or regulation of the SEC in respect thereof (collectively, Section 16). I do hereby ratify and confirm all acts my said attorney shall do or cause to be done by virtue hereof. I acknowledge that the foregoing attorneys-in-fact, serving in such capacity at my request, are not assuming, nor is PGT INNOVATIONS, INC. assuming, any of my responsibilities to comply with Section 16.

This power of attorney shall remain in full force and effect until it is revoked by the undersigned in a signed writing delivered to each such attorney-in-fact or the undersigned is no longer required to comply with Section 16, whichever occurs first.

WITNESS the execution hereof this 27<sup>th</sup> day of February 2023.

Signature: <u>/s/ Craig Henderson</u>

Print Name: <u>Craig Henderson</u>

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 3

### INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Henderson Craig<br><sub>(Last) (First) (Middle)</sub><br>1070 TECHNOLOGY DR.<br><sub>(Street)</sub><br>NORTH VENICE, FL 34275<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>PGT Innovations, Inc. [ PGTI ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2023-02-27 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director   [ ] 10% Owner<br>[X] Officer (give title below)   [ ] Other (specify below)<br>_INTERIM CFO_ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities Beneficially Owned

---

|  |  |  |  |
| --- | --- | --- | --- |
| 1. Title of Security | 2. Amount of Securities Beneficially Owned | 3. Ownership Form | 4. Nature of Indirect Beneficial Ownership |
| PGTI Common Stock | 7291<sup>(1)(2)</sup> | D |  |

---

## Table II - Derivative Securities Beneficially Owned

---

|  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Underlying Securities | 3. Title and Amount of Underlying Securities | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) Includes 533 shares of unrestricted PGTI Common Stock and 6,758 shares of restricted PGTI Common Stock. The 6,758 shares of restricted PGTI Common Stock were granted under the Company's 2019 Equity and Incentive Compensation Plan (the "Plan"), and include (i) 1,500 shares granted on May 24, 2021, and are expected to vest in full on May 24, 2024; (ii) 1,518 shares granted as part of the Company's 2022 Long-Term Incentive Plan (the "2022 LTIP") on February 14, 2022, and are expected to vest in two equal installments on each of February 14, 2024 and February 14, 2025; (iii) 1,473 shares granted as part of the 2022 LTIP,

(2) (Cont'd from footnote 1)including 854 shares granted on February 14, 2022, and 619 shares granted on February 14, 2023, based on the Company's performance for its 2022 fiscal year, and are expected to vest in full on February 14, 2024; and (iv) 2,267 shares granted as part of the Company's 2023 Long-Term Incentive Plan on February 15, 2023, and are expected to vest in three equal installments on each of February 15, 2024, February 15, 2025 and February 15, 2026.

**Remarks:**
Exhibit List: Exhibit 24.1 - Power of Attorney

**Signature:** /s/ Ryan S. Quinn, as attorney-in-fact for CRAIG HENDERSON  
**Date:** 2023-03-09

### Remarks:

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 4 (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.**