SEC Form 4 · accession 0001674335-18-000040
JELD-WEN Holding, Inc. · JELD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roderick Wendt
Director · Other
Period of report
Mar 9, 2018
Accepted (ET)
Mar 13, 2018 · 7:47 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001674335
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3,F4 | Mar 9, 2018 | S | 30,000 | $32.1665 | D | 3,426,684 | I | See footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares sold were held of record by the RC Wendt Revocable Trust, of which the reporting person is the sole trustee and beneficiary, and therefore may be deemed to have beneficial ownership of such shares.
- F2The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $32.00 to $32.33, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, 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 Form 4.
- F3Includes (i) 22,352 shares of common stock held through the Company's ESOP; (ii) 8,767 shares of common stock held through the Company's KSOP; (iii) 253,121 shares of common stock held through the Wendt Family Foundation; (iv) 2,806,485 shares of common stock held through The Richard Lester Wendt Revocable Living Trust; (v) 309,559 shares of common stock held through the RC Wendt Revocable Trust; and (vi) 26,400 shares of common stock held through the Roderick Wendt GST Trust. The reporting person is one of nine trustees of the Wendt Family Foundation. The reporting person is one of three trustees, each of whom are members of the reporting person's immediate family, of The Richard Lester Wendt Revocable Living Trust. The reporting person is the sole trustee of the RC Wendt Revocable Trust and the Roderick Wendt GST Trust.
- F4The reporting person has or shares voting and investment control of shares held by the Wendt Family Foundation, The Richard Lester Wendt Revocable Living Trust, the RC Wendt Revocable Trust and the Roderick Wendt GST Trust, and therefore may be deemed to have beneficial ownership of such shares. The reporting person is also the beneficiary of the RC Wendt Revocable Trust. The reporting person, as trustee and beneficiary of the RC Wendt Revocable Trust, has pledged 220,000 shares of common stock in the name of People's Bank of Commerce to secure a loan obligation.