SEC Form 4 · accession 0001209191-18-059542
NCI BUILDING SYSTEMS INC · NCS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Katy Theroux
Officer — EVP, Chief Human Res. Officer
Period of report
Nov 16, 2018
Accepted (ET)
Nov 20, 2018 · 6:16 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 StockF1,F2 | Nov 16, 2018 | A | 61,196 | $0.00 | A | 108,612 | D | |
| Common StockF3,F2 | Nov 16, 2018 | A | 30,426 | $0.00 | A | 139,038 | D | |
| Common StockF2 | Nov 16, 2018 | F | 14,632 | $12.25 | D | 124,406 | D | |
| Common StockF4,F2 | Nov 16, 2018 | A | 25,899 | $0.00 | A | 150,305 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options (Right to Buy)F5 | $12.16 | Nov 16, 2018 | A | 122,393 | A | — | Nov 16, 2028 | Common Stock | 122,393 | 122,393 | D |
Explanation of responses
- 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.
- F5The 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.