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OMB APPROVAL
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- -------- OMB Number: 3235-0104
FORM 3 Expires: September 30, 1998
- -------- Estimated average burden
hours per response .... 0.5
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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
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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
HM3 Coinvestors, L.P. 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) below) One Reporting
(City) (State) (Zip) Person
--------------------------- [x] Form filed by
More than One
Reporting
Person
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TABLE I -- 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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Common Stock $.25 par value 1,235,261 (2) I By Corporation (1)
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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 1472 (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(3) $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 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.
HM3 Coinvestors, L.P.,
Its General Partner
By: Hicks, Muse GP Partners III, L.P.,
Its General Partner
By: Hicks, Muse Fund III Incorporated,
Its General Partner
**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: 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)
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