SEC Form 4 · accession 0000950142-15-000050
PLY GEM HOLDINGS INC · PGEM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Wayne
Officer — EVP, Chief Operating Officer · 10% Owner
Period of report
Jan 2, 2015
Accepted (ET)
Jan 8, 2015 · 8:23 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001284807
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stockF2 | Jan 2, 2015 | S | 16,170 | $13.33 | D | 218,546 | D | |
| Common stockF3 | Jan 5, 2015 | S | 15,401 | $13.28 | D | 203,145 | D | |
| Common stockF4 | Jan 6, 2015 | S | 31,816 | $13.51 | D | 171,329 | D | |
| Common stockF5 | Jan 7, 2015 | S | 28,639 | $13.74 | D | 142,690 | D | |
| Common stockF6 | Jan 8, 2015 | S | 25,332 | $14.21 | D | 117,358 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 1, 2014.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.00 to $13.96, 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 sold at each separate price within the range set forth in footnotes (2), (3), (4), (5) and (6) to this Form 4.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.02 to $13.43, inclusive.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.28 to $13.58, inclusive.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.51 to $13.81, inclusive.
- F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.80 to $14.62, inclusive.