SEC Form 4 · accession 0000950142-17-001044
PLY GEM HOLDINGS INC · PGEM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael P Haley
Director
Period of report
May 11, 2017
Accepted (ET)
May 15, 2017 · 5:28 pm EDT
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 stock | May 11, 2017 | M | 6,476 | $12.35 | A | 123,711 | D | |
| Common stockF1 | May 11, 2017 | S | 4,525 | $17.77 | D | 119,186 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Director stock option (right to buy)F2 | $12.35 | May 11, 2017 | M | 6,476 | A | — | May 22, 2017 | Common stock | 6,476 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.70 to $17.80, 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 this footnote (1) to this Form 4.
- F2The option vested in five equal annual installments beginning on May 22, 2008.