SEC Form 4 · accession 0001225033-16-000079
NCI BUILDING SYSTEMS INC · NCS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark E Johnson
Officer — CFO
Period of report
Mar 14, 2016
Accepted (ET)
Mar 16, 2016 · 5:30 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 | 7,000 | $8.85 | A | 236,992 | D | |
| Common Stock, $0.01 par valueF1 | Mar 14, 2016 | S | 7,000 | $12.8783 | D | 229,992 | D | |
| Common Stock, $0.01 par valueF2 | Mar 14, 2016 | S | 11,000 | $12.8773 | D | 218,992 | D |
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 | Mar 14, 2016 | M | 7,000 | D | — | Dec 15, 2019 | Common Stock, $0.01 par value | 7,000 | 338,254 | D |
Explanation of responses
- F1Represents the weighted average selling price for 7,000 shares sold within the range of $12.85 and $12.90. 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 for 11,000 shares sold within the range of $12.86 and $12.93. 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.
- F3The options vested in four equal installments on Dec. 15, 2010, 2011, 2012, and 2013.