SEC Form 4 · accession 0001225033-16-000095
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 7, 2016
Accepted (ET)
Jul 11, 2016 · 5:41 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 7, 2016 | M | 18,736 | $8.85 | A | 237,728 | D | |
| Common Stock, $0.01 par valueF2 | Jul 7, 2016 | S | 18,736 | $16.1152 | D | 218,992 | D | |
| Common Stock, $0.01 par value | Jul 8, 2016 | M | 93,249 | $8.85 | A | 312,241 | D | |
| Common Stock, $0.01 par valueF3 | Jul 8, 2016 | S | 93,249 | $16.4054 | D | 218,992 | D | |
| Common Stock, $0.01 par value | Jul 11, 2016 | M | 21,830 | $8.85 | A | 240,822 | D | |
| Common Stock, $0.01 par value | Jul 11, 2016 | S | 21,830 | $17.00 | 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 StockF4 | $8.85 | Jul 7, 2016 | M | 18,736 | D | — | Dec 15, 2019 | Common Stock, $0.01 par value | 18,736 | 131,503 | D |
| Options to Purchase Common StockF4 | $8.85 | Jul 8, 2016 | M | 93,249 | D | — | Dec 15, 2019 | Common Stock, $0.01 par value | 93,249 | 38,254 | D |
| Options to Purchase Common StockF4 | $8.85 | Jul 11, 2016 | M | 21,830 | D | — | Dec 15, 2019 | Common Stock, $0.01 par value | 21,830 | 16,424 | 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 $16.04 and $16.19. 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 $16.18 and $16.50. 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.
- F4The options vested in four equal installments on Dec. 15, 2010, 2011, 2012 and 2013.