|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| |||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JLL Associates G.P. IV, L.L.C. 450 LEXINGTON AVE., 31ST FLOOR NEW YORK, NY 10017 |
X | See Remarks | ||
JLL Associates IV, L.P. 450 LEXINGTON AVE., 31ST FLOOR NEW YORK, NY 10017 |
X | |||
JLL Partners Fund IV, L.P. 450 LEXINGTON AVE., 31ST FLOOR NEW YORK, NY 10017 |
X |
/s/ Paul S. Levy, Managing Member | 12/13/2013 | |
**Signature of Reporting Person | Date | |
By JLL Associates G.P. IV, L.L.C., its General Partner; /s/ Paul S. Levy, Managing Member of JLL Associates G.P. IV, L.L.C. | 12/13/2013 | |
**Signature of Reporting Person | Date | |
By JLL Associates IV, L.P., its General Partner; By JLL Associates G.P. IV, L.L.C., its General Partner; /s/ Paul S. Levy, Managing Member of JLL Associates G.P. IV, L.L.C. | 12/13/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | On December 12, 2013, JLL Partners Fund IV, L.P. effected a pro-rata, in-kind distribution for no additional consideration of 6,298,189 shares of the common stock of PGT, Inc. (the "Company") theretofore owned by JLL Partners Fund IV, L.P. to its partners (the "Distribution"), of which 1,334,700 shares of common stock were distributed to JLL Associates IV, L.P., the general partner of JLL Partners Fund IV, L.P. |
(2) | This report is filed jointly by JLL Partners Fund IV, L.P., JLL Associates IV, L.P. and JLL Associates G.P. IV, L.L.C. (together, the "Reporting Persons"). JLL Associates IV, L.P. is the general partner of JLL Partners Fund IV, L.P., and JLL Associates G.P. IV, L.L.C. is the general partner of JLL Associates IV, L.P. JLL Partners Fund IV, L.P. does not directly beneficially own any shares of common stock of the Company. JLL Associates IV, L.P. is the direct beneficial owner of 1,334,700 shares of common stock of the Company, which it received in the Distribution. JLL Associates G.P. IV, L.L.C. may be deemed to be the beneficial owner of 1,334,700 shares of common stock of the Company, which is comprised of 1,334,700 shares directly owned by JLL Associates IV, L.P.; however, such Reporting Person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, (continued in footnote 3). |
(3) | (continued from footnote 2) and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
Remarks: Paul S. Levy, a director of the Issuer, is the managing member of JLL Associates G.P. IV L.L.C. On the basis of the relationship between Mr. Levy and the Reporting Persons, each Reporting Person may be deemed a director of the Issuer by deputization. |