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OMB APPROVAL
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- ---------- OMB Number: 3235-0104
FORM 3/A Expires: September 30, 1998
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hours per response .... 0.5
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U.S. SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 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
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<S> <C> <C> <C>
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1. Name and Address of Reporting Person* 2. Date of Event Requiring 4. Issuer Name and Ticker or 6. If Amendment, Date
HICKS, MUSE FUND III INCORPORATED Statement Trading Symbol of Original
- ---------------------------------------- (Month/Day/Year) PLY GEM INDUSTRIES, INC. (PGI) (Month/Day/Year)
(Last) (First) (Middle) June 24, 1997 ------------------------------------
200 Crescent Court, Suite 1600 ---------------------------- 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 75201 [ ] Officer [ ] Other (specify [ ] Form filed by
- -------------------------------------- ---------------------------- (give title below) One Reporting
(City) (State) (Zip) below) Person
--------------------------- [X] Form filed by
More than One
Reporting
Person
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TABLE 1 -- NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED
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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)
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*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 1473 (7/96)
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FORM 3 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES BENEFICIALLY OWNED
(E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
<S> <C> <C> <C> <C> <C>
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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
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Option (1) (1) Common Stock 6,234,603(1) $18.75 I (1)
$.25 par value
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Explanation of Responses:
(1) All shares which are beneficially owned are as a result of the First
Amended and Restated Stockholders Agreement dated July 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 99(1) to the Schedule 13D/A dated July 29, 1997 filed by
the Reporting Person with respect to Ply Gem Industries, Inc., File Number
1-4087 which is incorporated herein by reference.
HICKS, MUSE FUND III INCORPORATED
**By: /s/ Jeffry S. Fronterhouse August 11, 1997
**Intentional misstatements or omissions of facts constitute Federal Criminal ----------------------------- ---------------
Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Jeffry S. Fronterhouse Date
Vice President
Note. File three copies of this Form, one of which must be manually signed. Page 2
If space provided is insufficient, See Instruction 6 for procedure. SEC 1473 (7/96)
Potential persons who are to respond to the collection of information
contained in this form are not required to respond unless the form displays
a currently valid OMB number.
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