Page 1

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington , D.C. 20549 Form 10 - K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended January 2 , 2021 OR TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number : 001-37971 PGT Innovations , Inc. ( Exact name of registrant as specified in its charter ) Delaware ( State or other jurisdiction of incorporation or organization ) 1070 Technology Drive North Venice , Florida ( Address of principal executive offices ) Registrant's telephone number , including area code : ( 941 ) 480-1600 Title of each class Common stock , par value $ 0.01 per share 20-0634715 ( I.R.S. Employer Identification No. ) Former name , former address and former fiscal year , if changed since last report : PGT , Inc. Securities registered pursuant to Section 12 ( b ) of the Act : Trading Symbol ( s ) PGTI 34275 ( Zip Code ) Name of each exchange on which registered New York Stock Exchange , Inc. Securities registered pursuant to Section 12 ( g ) of the Act : None Indicate by check mark if the registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act . Yes No Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15 ( d ) of the Exchange Act . Yes No > Indicate by check mark whether the registrant ( 1 ) has filed all reports required to be filed by Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 during the preceding 12 months ( or for such shorter period that the registrant was required to file such reports ) , and ( 2 ) has been subject to such filing requirements for the past 90 days . Yes No Indicate by check mark whether the registrant has submitted electronically , every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S - T ( § 232.405 of this chapter ) during the preceding 12 months ( or for such shorter period that the registrant was required to submit such files ) . Yes No Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S - K ( § 229.405 of this chapter ) is not contained herein , and will not be contained , to the best of registrant's knowledge , in definitive proxy or information statements incorporated reference in Part III of this Form 10 - K or any amendment to this Form 10 - K . Indicate by check mark whether the registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , a smaller reporting company or emerging growth company . See definition of " accelerated filer , " " large accelerated filer , " " smaller reporting company , " and " emerging growth company " in Rule 12b - 2 of the Exchange Act . Large accelerated filer Non - accelerated filer Accelerated filer Smaller reporting company Emerging growth company If an emerging growth company , indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13 ( a ) of the Exchange Act Yes No □ ■ ▬ Indicate by check mark whether the registrant has filed a report on and attestation to its management's assessment of the effectiveness of its internal control over financial reporting under Section 404 ( b ) of the Sarbanes - Oxley Act ( 15 U.S.C. 7262 ( b ) ) by the registered public accounting firm that prepared or issued its audit report . Yes No Indicate by check mark whether the registrant is a shell company ( as defined by Rule 12b - 2 of the Exchange Act ) . Yes No > The aggregate market value of the registrant's common stock held by non - affiliates of the registrant as of July 2 , 2020 was approximately $ 866,140,391 based on the closing price per share on that date of $ 15.24 as reported on the New York Stock Exchange . The number of shares of the registrant's common stock , par value $ 0.01 , outstanding as of February 27 , 2021 , was 59,415,334 . DOCUMENTS INCORPORATED BY REFERENCE Portions of the Company's Proxy Statement for the Company's 2021 Annual Meeting of Stockholders are incorporated by reference into Part III of this Form 10 - K . The Company's Proxy Statement will be filed with the Securities and Exchange Commission pursuant to Regulation 14A .