SEC Form 4 · accession 0001562180-19-001902
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
Mar 12, 2019
Accepted (ET)
Mar 13, 2019 · 8:12 pm EDT
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 | Mar 12, 2019 | M | 12,175 | $0.00 | A | 24,329 | 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 | Mar 12, 2019 | M | 12,175 | D | — | — | Common Stock | 12,175 | 36,526 | D |
Explanation of responses
- F1The common stock was acquired pursuant to the vesting of restricted stock units (RSUs) granted on March 19, 2018, which vest in four equal installments on each of March 12, 2019, March 12, 2020, March 12, 2021 and March 12, 2022. 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.