SEC Form 4 · accession 0001562180-17-003674
BEACON ROOFING SUPPLY INC · BECN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Ross D Cooper
Officer — EVP & General Counsel
Period of report
Nov 21, 2017
Accepted (ET)
Nov 24, 2017 · 4:07 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001124941
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.01 par valueF1 | Nov 21, 2017 | A | 4,278 | $0.00 | A | 7,056 | D | |
| Common Stock, $0.01 par value | Nov 21, 2017 | F | 1,777 | $58.98 | D | 5,279 | D | |
| Common Stock, $0.01 par valueF2 | Nov 21, 2017 | M | 1,999 | $0.00 | A | 7,278 | D | |
| Common Stock, $0.01 par value | Nov 21, 2017 | F | 726 | $58.98 | D | 6,552 | D | |
| Common Stock, $0.01 par value | Nov 21, 2017 | M | 2,000 | $30.15 | A | 8,552 | D | |
| Common Stock, $0.01 par value | Nov 21, 2017 | S | 2,000 | $59.75 | D | 6,552 | D | |
| Common Stock, $0.01 par value | holding | — | — | — | 1,531 | I | by 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Units (RSUs)F4,F2 | — | Nov 21, 2017 | M | 1,999 | D | — | — | Common Stock, $0.01 par value | 1,999 | 0 | D |
| Restricted Stock Units (RSUs)F4,F5 | — | Nov 21, 2017 | A | 5,035 | A | — | — | Common Stock, $0.01 par value | 5,035 | 5,035 | D |
| Stock Option (right to buy)F6 | $30.15 | Nov 21, 2017 | M | 2,000 | D | — | Nov 14, 2022 | Common Stock, $0.01 par value | 2,000 | 2,000 | D |
Explanation of responses
- F1Represents shares issued upon settlement of restricted stock units (RSUs) on satisfaction of performance criteria.
- F2On November 21, 2014, the reporting individual was granted restricted stock units which vested and settled on the third anniversary of the grant date.
- F3This sale was made pursuant to a 10b5-1 plan.
- F4Restricted stock units convert into common stock on a one for one basis.
- F5Represents restricted stock units vested on satisfaction of performance criteria. These units are still subject to time based vesting and will settle on December 23, 2018.
- F6This option was fully vested and exercisable as of November 14, 2015.