SEC Form 4 · accession 0001225033-16-000090
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
Jun 23, 2016
Accepted (ET)
Jun 27, 2016 · 2:59 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 | Jun 23, 2016 | M | 43,867 | $8.85 | A | 125,736 | D | |
| Common Stock, $0.01 par valueF2 | Jun 23, 2016 | S | 43,867 | $16.1503 | D | 81,869 | D | |
| Common Stock, $0.01 par value | Jun 24, 2016 | M | 22,747 | $8.85 | A | 104,616 | D | |
| Common Stock, $0.01 par valueF3 | Jun 24, 2016 | S | 22,747 | $15.5609 | D | 81,869 | D | |
| Common Stock, $0.01 par valueF4 | 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 StockF5 | $8.85 | Jun 23, 2016 | M | 43,867 | D | — | Dec 15, 2019 | Common Stock, $0.01 par value | 43,867 | 32,732 | D |
| Option to Purchase Common StockF5 | $8.85 | Jun 24, 2016 | M | 22,747 | D | — | Dec 15, 2019 | Common Stock, $0.01 par value | 22,747 | 9,985 | D |
Explanation of responses
- F1The option exercises and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 9, 2016.
- F2Represents the weighted average selling price sold within the range of $15.9800 and $16.2171. 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 $15.50 and $15.69. 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.
- F4Holdings calculated as of June 24, 2016.
- F5The options vested in four equal installments on Dec. 15, 2010, 2011, 2012, and 2013.