SEC Form 4 · accession 0000950142-18-000889
PLY GEM HOLDINGS INC · PGEM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy D Johnson
Officer — SVP and General Counsel · 10% Owner
Period of report
Apr 6, 2018
Accepted (ET)
Apr 10, 2018 · 5:09 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 | Apr 6, 2018 | G | 2,949 | $0.00 | D | 0 | D | |
| Common Stock | Apr 9, 2018 | M | 10,125 | $12.35 | A | 10,125 | 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 | Apr 9, 2018 | M | 10,125 | D | Dec 5, 2013 | Dec 5, 2018 | Common Stock | 10,125 | 35,208 | D |
Explanation of responses
- F1Shares of Common Stock, par value $0.01, represent a bona fide gift of common stock by the Reporting Person effective April 6, 2018. This is not a market transaction, thus no price has been reported. No value was received for the gifted shares.