SEC Form 4 · accession 0001225033-15-000002
NCI BUILDING SYSTEMS INC · NCS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric James Brown
Officer — EVP & CIO
Period of report
Jan 30, 2015
Accepted (ET)
Jan 30, 2015 · 4:58 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, $0.01 par value | Jan 30, 2015 | M | 10,000 | $8.85 | A | 88,502 | D | |
| Common Stock, $0.01 par valueF1 | Jan 30, 2015 | S | 10,000 | $15.56 | D | 78,502 | D | |
| Common Stock, $0.01 par valueF2 | holding | — | — | — | 5,845 | I | NCI 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Purchase Common StockF3 | $8.85 | Jan 30, 2015 | M | 10,000 | D | — | Dec 15, 2019 | Common Stock, $0.01 par value | 10,000 | 40,762 | D |
Explanation of responses
- F1Represents the weighted average selling price sold within the range of $15.42 and $15.75. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F2Holdings calculated as of January 29, 2015.
- F3The options vested in four equal installments on Dec. 15, 2010, 2011, 2012, and 2013.