SEC Form 4 · accession 0001225033-16-000093
NCI BUILDING SYSTEMS INC · NCS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark E Johnson
Officer — EVP, CFO & Treasurer
Period of report
Jul 1, 2016
Accepted (ET)
Jul 6, 2016 · 5:53 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 | Jul 1, 2016 | M | 94,156 | $8.85 | A | 313,148 | D | |
| Common Stock, $0.01 par valueF2 | Jul 1, 2016 | S | 94,156 | $16.2884 | D | 218,992 | D | |
| Common Stock, $0.01 par value | Jul 5, 2016 | M | 47,550 | $8.85 | A | 266,542 | D | |
| Common Stock, $0.01 par valueF3 | Jul 5, 2016 | S | 47,550 | $15.9122 | D | 218,992 | D | |
| Common Stock, $0.01 par value | Jul 6, 2016 | M | 46,309 | $8.85 | A | 265,301 | D | |
| Common Stock, $0.01 par valueF4 | Jul 6, 2016 | S | 46,309 | $16.0182 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to Purchase Common StockF5 | $8.85 | Jul 1, 2016 | M | 94,156 | D | — | Dec 15, 2019 | Common Stock, $0.01 par value | 94,156 | 244,098 | D |
| Options to Purchase Common StockF5 | $8.85 | Jul 5, 2016 | M | 47,550 | D | — | Dec 15, 2019 | Common Stock, $0.01 par value | 47,550 | 196,548 | D |
| Options to Purchase Common StockF5 | $8.85 | Jul 6, 2016 | M | 46,309 | D | — | Dec 15, 2019 | Common Stock, $0.01 par value | 46,309 | 150,239 | 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 8, 2016.
- F2Represents the weighted average selling price sold within the range of $16.00 and $16.46. 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 $15.67 and $16.06. 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 $15.8500 and $16.0866. 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.
- F5The options vested in four equal installments on Dec. 15, 2010, 2011, 2012 and 2013.