SEC Form 4 · accession 0000757011-18-000069
USG CORP · USG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dominic A Dannessa
Officer — Executive Vice President
Period of report
Jul 27, 2018
Accepted (ET)
Jul 30, 2018 · 5:47 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000757011
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jul 27, 2018 | M | 28,571 | $6.86 | A | 101,412 | D | |
| Common Stock | Jul 27, 2018 | M | 19,430 | $11.98 | A | 120,842 | D | |
| Common Stock | Jul 27, 2018 | M | 12,215 | $18.99 | A | 133,057 | D | |
| Common Stock | Jul 27, 2018 | M | 19,504 | $14.76 | A | 152,561 | D | |
| Common StockF1 | Jul 27, 2018 | S | 84,720 | $43.0501 | D | 67,841 | D | |
| Common StockF2 | Jul 30, 2018 | S | 5,000 | $43.1505 | D | 62,841 | D | |
| Common Stock | holding | — | — | — | 155 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F3 | $6.86 | Jul 27, 2018 | M | 28,571 | D | — | Feb 11, 2019 | Common Stock | 28,571 | 0 | D |
| Employee Stock Option (Right to Buy)F4 | $11.98 | Jul 27, 2018 | M | 19,430 | D | — | Feb 10, 2020 | Common Stock | 19,430 | 0 | D |
| Employee Stock Option (Right to Buy)F5 | $18.99 | Jul 27, 2018 | M | 12,215 | D | — | Feb 9, 2021 | Common Stock | 12,215 | 0 | D |
| Employee Stock Option (Right to Buy)F6 | $14.76 | Jul 27, 2018 | M | 19,504 | D | — | Feb 8, 2022 | Common Stock | 19,504 | 0 | D |
Explanation of responses
- F1The per share sales price for the common stock sold in the reported transaction ranged from $43.00 to $43.15. The reporting person will provide upon request by the Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares sold at each separate price.
- F2The per share sales price for the common stock sold in the reported transaction ranged from $43.15 to $43.155. The reporting person will provide upon request by the Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares sold at each separate price.
- F3The option vested with respect to the shares included in the reported transaction in four equal annual installments beginning on February 11, 2010.
- F4The option vested with respect to the shares included in the reported transaction in four equal annual installments beginning on February 10 2011.
- F5The option vested with respect to the shares included in the reported transaction in four equal annual installments beginning on February 9, 2012.
- F6The option vested with respect to the shares included in the reported transaction in four equal annual installments beginning on February 8, 2013.