SEC Form 4 · accession 0000950142-18-000372
PLY GEM HOLDINGS INC · PGEM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John L Buckley
Officer — President, Siding Group · 10% Owner
Period of report
Feb 8, 2018
Accepted (ET)
Feb 12, 2018 · 4:34 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 | Feb 8, 2018 | S | 32,725 | $22.001 | D | 32,724 | D | |
| Common Stock | Feb 12, 2018 | M | 12,953 | $12.35 | A | 45,677 | D |
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) | $12.35 | Feb 12, 2018 | M | 12,953 | D | Oct 1, 2013 | Oct 1, 2018 | Common Stock | 12,953 | 0 | D |
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 May 25, 2017.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.15, 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 to this Form 4.