PLY GEM HOLDINGS INC 4
4 · PLY GEM HOLDINGS INC · Filed Aug 28, 2014
Insider Transaction Report
Form 4
ISEMAN FREDERICK J
Director10% Owner
Transactions
- Purchase
Common stock
2014-08-26$11.06/sh+540$5,972→ 540 total - Purchase
Common stock
2014-08-27$11.33/sh+24,460$277,132→ 25,000 total
Holdings
- 9,985,631(indirect: See footnote)
Common stock
- 35,709,612(indirect: See footnote)
Common stock
Footnotes (5)
- [F1]The price reported in Column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $11.05 to $11.07, inclusive. Mr. Iseman (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 acquired at each separate price within the range set forth in this footnote (1) to this Form 4.
- [F2]The price reported in Column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $11.08 to $11.36, 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 acquired at each separate price within the range set forth in this footnote (2) to this Form 4.
- [F3]Represents shares of common stock of Ply Gem Holdings, Inc. (the "Issuer") beneficially owned as a result of the Agreement and Plan of Merger, dated as of May 22, 2013, by and between Ply Gem Prime Holdings, Inc. and the Issuer. Rajaconda Holdings, Inc. (the "CI General Partner") is the sole general partner of Caxton-Iseman (Ply Gem), L.P. ("CI Partnership I") and Caxton-Iseman (Ply Gem) II, L.P. ("CI Partnership II" and, together with CI Partnership I, the "CI Partnerships"). The CI General Partner is wholly owned by FJI Gloucester LLC, which is wholly owned and controlled by the Reporting Person. The Reporting Person's pecuniary interest in the securities held by the CI Partnerships is limited to his percentage interest in the CI Partnerships' interests in such securities.
- [F4]By CI Partnership I.
- [F5]By CI Partnership II.