-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TgLqzsGbHrMWpOe9jUytXaCtUFprVxH40DtXeBzrwT8AiEuPi+uGyB+1WdtJBwHB EcenC3QaAFwNne/GbZWAiw== 0000950134-97-005174.txt : 19970708 0000950134-97-005174.hdr.sgml : 19970708 ACCESSION NUMBER: 0000950134-97-005174 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970624 FILED AS OF DATE: 19970707 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PLY GEM INDUSTRIES INC CENTRAL INDEX KEY: 0000079209 STANDARD INDUSTRIAL CLASSIFICATION: MILLWOOD, VENEER, PLYWOOD & STRUCTURAL WOOD MEMBERS [2430] IRS NUMBER: 111727150 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04087 FILM NUMBER: 97637025 BUSINESS ADDRESS: STREET 1: 777 THIRD AVE CITY: NEW YORK STATE: NY ZIP: 10017-1401 BUSINESS PHONE: 2128321550 MAIL ADDRESS: STREET 1: PLY GEM INDUSTRIES INC STREET 2: 777 THIRD AVE CITY: NEW YORK STATE: NY ZIP: 10017-1401 FORMER COMPANY: FORMER CONFORMED NAME: INDUSTRIAL PLYWOOD CO INC DATE OF NAME CHANGE: 19680729 FORMER COMPANY: FORMER CONFORMED NAME: CRAFTMAN PLYWOOD CORP DATE OF NAME CHANGE: 19680212 FORMER COMPANY: FORMER CONFORMED NAME: CRAFTSMAN PLYWOOD CORP DATE OF NAME CHANGE: 19661006 COMPANY DATA: COMPANY CONFORMED NAME: ATRIUM ACQUISITION HOLDINGS CORP CENTRAL INDEX KEY: 0001041909 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 1341 W MOCKINGBIRD STREET 2: STE 1200 WEST CITY: DALLAS STATE: TX ZIP: 75247 BUSINESS PHONE: 2146305757 MAIL ADDRESS: STREET 1: 1341 W MOCKINGBIRD STREET 2: STE 1200 WEST CITY: DALLAS STATE: TX ZIP: 75247 3 1 FORM 3 1 --------------------------- OMB APPROVAL --------------------------- - -------- OMB Number: 3235-0104 FORM 3 Expires: September 30, 1998 - -------- Estimated average burden hours per response .... 0.5 --------------------------- U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 INITIAL STATEMENT OF 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(f) of the Investment Company Act of 1940 - ----------------------------------------------------------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* 2. Date of Event Requiring 4. Issuer Name and Ticker or 6. If Amendment, Date Atrium Acquisition Holdings Corp. Statement Trading Symbol of Original - ---------------------------------------- (Month/Day/Year) PLY GEM INDUSTRIES, INC. (PGI) (Month/Day/Year) (Last) (First) (Middle) June 24, 1997 ------------------------------------ --------------------- 1341 W. Mockingbird Lane, Suite 1200W ---------------------------- 5. Relationship of Reporting 7. Individual or - ---------------------------------------- 3. IRS or Social Security Person to Issuer Joint/Group Filing (Street) Number of Reporting (Check all applicable) (check applicable Person (Voluntary) [ ] Director [x] 10% Owner box) DALLAS TEXAS 75247 [ ] Officer [ ] Other (specify [ ] Form filed by - -------------------------------------- ---------------------------- (give title below) below) One Reporting (City) (State) (Zip) Person --------------------------- [x] Form filed by More than One Reporting Person - ----------------------------------------------------------------------------------------------------------------------------------- TABLE I -- NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED - ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of Security 2. Amount of Securities 3. Ownership Form: 4. Nature of Indirect (Instr. 4) Beneficially Owned Direct (D) or Beneficial (Instr. 4) Indirect (I) Ownership (Instr. 5) (Instr. 5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock $.25 par value 1,235,261 (2) I By Corporation (1) - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- *If the form is filed by more than one Reporting Person, see instruction 5(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) (Print or Type Responses) SEC 1472 (7/96) Page 1 of 2
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FORM 3 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative Security 2. Date 3. Title and Amount of 4. Conver- 5. Owner- 6. Nature of Indirect (Instr. 4) Exercisable and Securities Underlying sion or ship Beneficial Ownership Expiration Date Derivative Security Exercise Form of (Instr. 5) (Month/Day/ (Instr. 4) Price of Deriv- Year) Deri- ative vative Security: Security Direct ------------------------------------------------- (D) or Date Expira- Amount or Indirect (I) Exercis- tion Title Number (Instr. 5) able Date of Shares - ------------------------------------------------------------------------------------------------------------------------------------ Option (1) (1) Common Stock 6,234,603(3) $18.75 I (1) $.25 par value - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: (1) All shares which are beneficially owned are as a result of a Stockholders Agreement dated June 24, 1997 (the "Stockholders Agreement"). For a complete discussion of the terms and conditions of the Stockholders Agreement, see the Stockholders Agreement filed as Exhibit A to Exhibit 2 of the Form 8-K dated June 24, 1997 filed by Ply Gem Industries, Inc., File Number 1-4087 which is incorporated herein by reference. (2) Represents the 1,235,261 shares of Ply Gem Common Stock par value $.25 (the "Common Stock") which can be voted pursuant to the Stockholders Agreement. (3) Represents the shares which can be purchased upon the occurrence of certain events as described in the Stockholders Agreement described in Note 1. Includes the Common Stock referenced in Note 2. ATRIUM ACQUISITION HOLDINGS CORP. **By: /s/ Jeffry S. Fronterhouse 7/3/97 **Intentional misstatements or omissions of facts constitute Federal Criminal ------------------------------- ------------- Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Name: Jeffry S. Fronterhouse Date Title: Executive Vice President Note. File three copies of this Form, one of which must be manually signed. If space provided is insufficient, See Instruction 6 for procedure. SEC 1472 (7/96) Page 2 of 2
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