-----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, KmjdCoSnAXNkt9qRujHmZ1Ph9vk9h7LY046NyB9BY+lwvCw0hl0bf4kQ19TSZO7v 1GyXMAPEKsBur8yFtzkNkA== 0001209191-08-052142.txt : 20080916 0001209191-08-052142.hdr.sgml : 20080916 20080916185854 ACCESSION NUMBER: 0001209191-08-052142 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080807 FILED AS OF DATE: 20080916 DATE AS OF CHANGE: 20080916 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PGT, Inc. CENTRAL INDEX KEY: 0001354327 STANDARD INDUSTRIAL CLASSIFICATION: METAL DOORS, SASH, FRAMES, MOLDING & TRIM [3442] IRS NUMBER: 200634715 STATE OF INCORPORATION: DE FISCAL YEAR END: 1229 BUSINESS ADDRESS: STREET 1: 1070 TECHNOLOGY DRIVE CITY: NOKOMIS STATE: FL ZIP: 34275 BUSINESS PHONE: 941-480-1600 MAIL ADDRESS: STREET 1: 1070 TECHNOLOGY DRIVE CITY: NOKOMIS STATE: FL ZIP: 34275 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JLL Partners Fund IV, L.P. CENTRAL INDEX KEY: 0001366255 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-52059 FILM NUMBER: 081075056 BUSINESS ADDRESS: STREET 1: 450 LEXINGTON AVENUE STREET 2: SUITE 3350 CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-286-8600 MAIL ADDRESS: STREET 1: 450 LEXINGTON AVENUE STREET 2: SUITE 3350 CITY: NEW YORK STATE: NY ZIP: 10017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JLL Associates IV, L.P. CENTRAL INDEX KEY: 0001366269 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-52059 FILM NUMBER: 081075055 BUSINESS ADDRESS: STREET 1: 450 LEXINGTON AVENUE STREET 2: SUITE 3350 CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-286-8600 MAIL ADDRESS: STREET 1: 450 LEXINGTON AVENUE STREET 2: SUITE 3350 CITY: NEW YORK STATE: NY ZIP: 10017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JLL Associates G.P. IV, L.L.C. CENTRAL INDEX KEY: 0001366254 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-52059 FILM NUMBER: 081075054 BUSINESS ADDRESS: STREET 1: 450 LEXINGTON AVENUE STREET 2: SUITE 3350 CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-286-8600 MAIL ADDRESS: STREET 1: 450 LEXINGTON AVENUE STREET 2: SUITE 3350 CITY: NEW YORK STATE: NY ZIP: 10017 4/A 1 doc4a.xml FORM 4/A SUBMISSION X0303 4/A 2008-08-07 2008-08-11 0 0001354327 PGT, Inc. PGTI 0001366255 JLL Partners Fund IV, L.P. 450 LEXINGTON AVE., 31ST FLOOR NEW YORK NY 10017 0 0 1 0 0001366269 JLL Associates IV, L.P. 450 LEXINGTON AVE., 31ST FLOOR NEW YORK NY 10017 0 0 1 0 0001366254 JLL Associates G.P. IV, L.L.C. 450 LEXINGTON AVE., 31ST FLOOR NEW YORK NY 10017 0 0 1 0 Common Stock, par value $0.01 per share 2008-08-07 4 X 0 4295158 4.20 A 18758934 D Subscription Rights (right to buy) 4.20 2008-08-07 4 X 0 4295158 0.00 D 2008-08-06 2008-09-04 Common Stock, par value $0.01 per share 4295158 0 D These shares of common stock, par value $0.01 per share, of PGT, Inc. (the "Company") were purchased by JLL Partners Fund IV, L.P. upon exercise of subscription rights issued to holders of the Company's common stock as of the close of business on August 4, 2008, to purchase shares of the Company's common stock at a subscription price of $4.20 per share (the "Rights Offering") under JLL Partners Fund IV, L.P.'s basic subscription privilege and over-subscription privilege in the Rights Offering. This Form 4 amends the Form 4 filed on August 11, 2008, which reported the purchase of 3,615,944 shares of the Company's common stock under JLL Partners Fund IV, L.P.'s basic subscription privilege in the Rights Offering. (Continued in Footnote 2.) (Continued from Footnote 1.) Pursuant to the over-subscription privilege in the Rights Offering, JLL Partners Fund IV, L.P. was entitled to acquire, on a pro rata basis, a portion of any shares of the Company's common stock that were not purchased by other stockholders as of the expiration of the Rights Offering under the basic subscription privilege of the Rights Offering at the same subscription price of $4.20 per share. On September 16, 2008, the Company and The Bank of New York Mellon, as subscription agent for the Rights Offering, determined the allocation of shares of the Company's common stock under the over-subscription privilege in the Rights Offering, and JLL Partners Fund IV, L.P. was notified that it was entitled to purchase 679,214 additional shares of the Company's common stock. 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. JLL Partners Fund IV, L.P. is the direct beneficial owner of 18,758,934 shares of common stock of the Company. 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 Associates G.P. IV, L.L.C. and JLL Associates IV, L.P. may be deemed to be the indirect beneficial owners of 18,758,934 shares of common stock of the Company. JLL Associates IV, L.P. and JLL Associates G.P. IV, L.L.C. disclaim beneficial ownership of these securities, and this report shall not be deemed an admission that either of these reporting persons is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. These subscription rights were exercised by JLL Partners Fund IV, L.P. under its basic subscription privilege and over-subscription privilege in the Rights Offering, as described above in Notes 1 and 2. The Rights Offering expired at 5:00 p.m., Eastern Daylight Time, on September 4, 2008. JLL Partners Fund IV, L.P. exercised its subscription rights under its basic subscription privilege and over-subscription privilege in the Rights Offering on August 7, 2008, and was notified on September 16, 2008, of the number of shares of the Company's common stock it was entitled to purchase under its over-subscription privilege, as described above in Notes 1 and 2. JLL Partners Fund IV, LP, By JLL Assoc. IV, LP, its G.P., By JLL Assoc. G.P. IV, LLC, its G.P., JLL Assoc. IV, LP, By JLL Assoc. G.P. IV, LLC., its G.P. JLL Assoc. G.P. IV, LLC /s/ Paul S. Levy, Managing Member of JLL Associates G.P. IV, LLC 2008-09-16 /s/ Paul S. Levy, Managing Member of JLL Associates G.P. IV, L.L.C. 2008-08-11 Paul S. Levy, Managing Member of JLL Associates G.P. IV, L.L.C. 2008-08-11 -----END PRIVACY-ENHANCED MESSAGE-----