SEC Form 4 · accession 0001225033-16-000092
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 29, 2016
Accepted (ET)
Jul 1, 2016 · 3:45 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 29, 2016 | M | 9,985 | $8.85 | A | 91,854 | D | |
| Common Stock, $0.01 par valueF2 | Jun 29, 2016 | S | 9,985 | $15.5213 | D | 81,869 | D | |
| Common Stock, $0.01 par valueF3 | holding | — | — | — | 5,782 | 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 StockF4 | $8.85 | Jun 29, 2016 | M | 9,985 | D | — | Dec 15, 2019 | Common Stock, $0.01 par value | 9,985 | 0 | 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 3, 2016.
- F2Represents the weighted average selling price sold within the range of $15.50 and $15.61. 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.
- F3Holdings calculated as of June 29, 2016.
- F4The options vested in four equal installments on Dec. 15, 2010, 2011, 2012 and 2013.