SEC Form 4 · accession 0001209191-18-059533

NCI BUILDING SYSTEMS INC · NCS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — See Remarks

Period of report

Nov 16, 2018

Accepted (ET)

Nov 20, 2018 · 6:12 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000883902

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	Nov 16, 2018	A	50,104	$0.00	A	110,101	D
Common Stock^F3,F2	Nov 16, 2018	A	36,131	$0.00	A	146,232	D
Common Stock^F2	Nov 16, 2018	F	17,577	$12.25	D	128,655	D
Common Stock^F4,F2	Nov 16, 2018	A	28,245	$0.00	A	156,900	D
Common Stock^F5	holding	—	—		—	5,503	I	NCI 401(k) Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Options (Right to Buy)^F6	$12.16	Nov 16, 2018	A	100,210	A	—	Nov 16, 2028	Common Stock	100,210	100,210	D

F1Each restricted stock unit represents a contingent right to receive one share of NCI Building Systems, Inc. common stock, and is subject to vesting in five equal annual installments on November 16, 2019, November 16, 2020, November 16, 2021, November 16, 2022, and November 16, 2023, unless forfeited prior to such date.
F2Includes restricted stock units.
F3Shares of common stock received as a result of settlement of earned PSUs.
F4Restricted stock units received as a result of conversion of PSUs.
F5Holdings calculated as of November 18, 2018.
F6The options are subject to vesting in five equal annual installments on November 16, 2019, November 16, 2020, November 16, 2021, November 16, 2022, and November 16, 2023, unless forfeited prior to such date.

Executive Vice President, Chief Legal, Risk & Compliance Officer and Corporate Secretary