SEC Form 4 · accession 0001225033-16-000096
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
Jul 11, 2016
Accepted (ET)
Jul 12, 2016 · 3:07 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 11, 2016 | M | 3,439 | $10.18 | A | 85,308 | D | |
| Common Stock, $0.01 par value | Jul 11, 2016 | S | 3,439 | $17.00 | D | 81,869 | D | |
| Common Stock, $0.01 par valueF2 | holding | — | — | — | 5,818 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to Purchase Common StockF3 | $10.18 | Jul 11, 2016 | M | 3,439 | D | — | Dec 15, 2021 | Common Stock, $0.01 par value | 3,439 | 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.
- F2Holdings calculated as of July 11, 2016.
- F3The options vested in four equal installments on Dec. 15, 2012, 2013, 2014 and 2015.