0001209191-13-056910.txt : 20131213 0001209191-13-056910.hdr.sgml : 20131213 20131213164519 ACCESSION NUMBER: 0001209191-13-056910 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131212 FILED AS OF DATE: 20131213 DATE AS OF CHANGE: 20131213 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: 0101 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 SEC ACT: 1934 Act SEC FILE NUMBER: 000-52059 FILM NUMBER: 131276623 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 SEC ACT: 1934 Act SEC FILE NUMBER: 000-52059 FILM NUMBER: 131276624 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 SEC ACT: 1934 Act SEC FILE NUMBER: 000-52059 FILM NUMBER: 131276625 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 1 doc4.xml FORM 4 SUBMISSION X0306 4 2013-12-12 0 0001354327 PGT, Inc. PGTI 0001366254 JLL Associates G.P. IV, L.L.C. 450 LEXINGTON AVE., 31ST FLOOR NEW YORK NY 10017 0 0 1 1 See Remarks 0001366269 JLL Associates IV, L.P. 450 LEXINGTON AVE., 31ST FLOOR NEW YORK NY 10017 0 0 1 0 0001366255 JLL Partners Fund IV, L.P. 450 LEXINGTON AVE., 31ST FLOOR NEW YORK NY 10017 0 0 1 0 Common Stock, par value $0.01 per share 2013-12-12 4 J 0 4963489 0.00 D 1334700 I See footnotes 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. 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). (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. 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. /s/ Paul S. Levy, Managing Member 2013-12-13 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. 2013-12-13 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. 2013-12-13