Filing Details

Accession Number:
0000950142-14-001795
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-08-28 16:30:50
Reporting Period:
2014-08-26
Filing Date:
2014-08-28
Accepted Time:
2014-08-28 16:30:50
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1284807 Ply Gem Holdings Inc PGEM Millwood, Veneer, Plywood, & Structural Wood Members (2430) 200645710
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1168681 J Frederick Iseman C/O Ci Capital Partners Llc
500 Park Avenue, 8Th Floor
New York NY 10022
Yes No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2014-08-26 540 $11.06 540 No 4 P Direct
Common Stock Acquisiton 2014-08-27 24,460 $11.33 25,000 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 9,985,631 Indirect See footnote
Common Stock 35,709,612 Indirect See footnote
Footnotes
  1. The price reported in Column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $11.05 to $11.07, inclusive. Mr. Iseman (the "Reporting Person") undertakes to provide to Ply Gem Holdings, Inc., any security holder of Ply Gem Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the range set forth in this footnote (1) to this Form 4.
  2. The price reported in Column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $11.08 to $11.36, inclusive. The Reporting Person undertakes to provide to Ply Gem Holdings, Inc., any security holder of Ply Gem Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the range set forth in this footnote (2) to this Form 4.
  3. Represents shares of common stock of Ply Gem Holdings, Inc. (the "Issuer") beneficially owned as a result of the Agreement and Plan of Merger, dated as of May 22, 2013, by and between Ply Gem Prime Holdings, Inc. and the Issuer. Rajaconda Holdings, Inc. (the "CI General Partner") is the sole general partner of Caxton-Iseman (Ply Gem), L.P. ("CI Partnership I") and Caxton-Iseman (Ply Gem) II, L.P. ("CI Partnership II" and, together with CI Partnership I, the "CI Partnerships"). The CI General Partner is wholly owned by FJI Gloucester LLC, which is wholly owned and controlled by the Reporting Person. The Reporting Person's pecuniary interest in the securities held by the CI Partnerships is limited to his percentage interest in the CI Partnerships' interests in such securities.
  4. By CI Partnership I.
  5. By CI Partnership II.