SEC Form 4 · accession 0001562180-19-000900
Foundation Building Materials, Inc. · FBM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ruben Mendoza
Officer — President and CEO · Director
Period of report
Feb 9, 2019
Accepted (ET)
Feb 12, 2019 · 5:50 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001688941
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 9, 2019 | M | 6,077 | $0.00 | A | 12,154 | D | |
| Common StockF2 | holding | — | — | — | 77,400 | I | See Footnote | |
| Common StockF3 | holding | — | — | — | 12,500 | I | See Footnote | |
| Common StockF4 | holding | — | — | — | 21,430 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1 | $0.00 | Feb 9, 2019 | M | 6,077 | D | — | — | Common Stock | 6,077 | 12,156 | D |
Explanation of responses
- F1The common stock was acquired pursuant to the vesting of restricted stock units (RSUs) granted on February 9, 2017, which vest in four equal annual installments on the first, second, third and fourth anniversary of the grant date. Each RSU represents a contingent right to receive one share of FBM common stock or the cash equivalent based on the date of vesting.
- F2Held by The Mendoza Family Trust dated June 3, 2003.
- F3Held by the Ruben and Heidi Mendoza Irrevocable Trust dated Jan. 1, 2007. Mr. Mendoza disclaims beneficial ownership of any securities in which he does not have a pecuniary interest.
- F4Held by Milosophia LLC. Mr. Mendoza disclaims beneficial ownership of any securities in which he does not have a pecuniary interest.