SEC Form 4 · accession 0001225033-16-000077
NCI BUILDING SYSTEMS INC · NCS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Todd R Moore
Officer — EVP, GC & Secretary
Period of report
Mar 14, 2016
Accepted (ET)
Mar 16, 2016 · 5:22 pm EDT
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 | Mar 14, 2016 | M | 7,800 | $8.85 | A | 129,669 | D | |
| Common Stock, $0.01 par valueF1 | Mar 14, 2016 | S | 7,800 | $12.9222 | D | 121,869 | D | |
| Common Stock, $0.01 par valueF2 | Mar 14, 2016 | S | 8,783 | $12.9243 | D | 113,086 | D | |
| Common Stock, $0.01 par value | Mar 15, 2016 | M | 2,200 | $8.85 | A | 115,286 | D | |
| Common Stock, $0.01 par valueF3 | Mar 15, 2016 | S | 2,200 | $12.5286 | D | 113,086 | D | |
| Common Stock, $0.01 par valueF4 | Mar 16, 2016 | S | 31,217 | $12.572 | D | 81,869 | D | |
| Common Stock, $0.01 par valueF5 | holding | — | — | — | 5,793 | 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 StockF6 | $8.85 | Mar 14, 2016 | M | 7,800 | D | — | Dec 15, 2019 | Common Stock, $0.01 par value | 7,800 | 78,799 | D |
| Option to Purchase Common StockF6 | $8.85 | Mar 15, 2016 | M | 2,200 | D | — | Dec 15, 2019 | Common Stock, $0.01 par value | 2,200 | 76,599 | D |
Explanation of responses
- F1Represents the weighted average selling price sold within the range of $12.90 and $12.97. 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.
- F2Represents the weighted average selling price sold within the range of $12.90 and $12.97. 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.
- F3Represents the weighted average selling price sold within the range of $12.52 and $12.54. 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.
- F4Represents the weighted average selling price sold within the range of $12.50 and $12.70. 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.
- F5Holdings calculated as of March 15, 2016.
- F6The options vested in four equal installments on Dec. 15, 2010, 2011, 2012, and 2013.