SEC Form 4 · accession 0001225033-18-000014

NCI BUILDING SYSTEMS INC · NCS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Executive Chairman · Director

Period of report

Dec 31, 2017

Accepted (ET)

Jan 3, 2018 · 6:59 pm EST

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	Dec 31, 2017	F	121,020	$19.30	D	342,333	D
Common Stock, $0.01 par value^F1	Jan 2, 2018	S	52,090	$19.4544	D	290,243	D
Common Stock, $0.01 par value	Jan 3, 2018	M	33,334	$12.00	A	323,577	D
Common Stock, $0.01 par value^F2	Jan 3, 2018	S	33,334	$19.3452	D	290,243	D
Common Stock, $0.01 par value^F3	holding	—	—		—	23,934	I	NCI 401(k) Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Common Stock, $0.01 par value^F4	$12.00	Jan 3, 2018	M	33,334	D	—	Dec 14, 2020	Common Stock, $0.01 par value	33,334	0	D

F1Represents the weighted average selling price for 52,090 shares sold within the range of $19.45 and $19.475. 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.
F2Represents the weighted average selling price for 33,334 shares sold within the range of $19.300 and $19.425. 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 December 29, 2017.
F4Options vest in 25% increments on each of the first four anniversary dates of Dec. 14, 2010.