SEC Form 4 · accession 0000950142-15-001401
PLY GEM HOLDINGS INC · PGEM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David N Schmoll
Officer — SVP, Human Resources · 10% Owner
Period of report
Jun 5, 2015
Accepted (ET)
Jun 9, 2015 · 4:56 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001284807
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee stock option (right to buy)F1 | $12.35 | Jun 5, 2015 | A | 187,808 | A | — | Jun 5, 2020 | Common stock | 187,808 | 187,808 | D |
| Employee stock option (right to buy)F3,F2 | $12.35 | Jun 5, 2015 | D | 187,808 | A | — | Jul 9, 2017 | Common stock | 187,808 | 187,808 | D |
Explanation of responses
- F1The option vests in four equal three-month installments beginning on September 5, 2015.
- F2The option vested in five equal installments beginning on July 9, 2008.
- F3The option was canceled by mutual agreement of the reporting person and Ply Gem Holdings, Inc. (the "Company"). As consideration for this cancelation, the reporting person received options to purchase shares of common stock of the Company as reported in this Form 4.