SEC Form 4 · accession 0001225033-18-000027
NCI BUILDING SYSTEMS INC · NCS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kathleen J Affeldt
Director
Period of report
May 7, 2018
Accepted (ET)
May 8, 2018 · 5:06 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 | May 7, 2018 | M | 10,000 | $12.00 | A | 48,316 | D | |
| Common Stock, $0.01 par valueF1,F2 | May 7, 2018 | S | 10,000 | $18.0042 | D | 38,316 | D | |
| Common Stock, $0.01 par value | May 7, 2018 | M | 11,788 | $10.18 | A | 50,104 | D | |
| Common Stock, $0.01 par valueF1,F3 | May 7, 2018 | S | 11,788 | $18.0019 | D | 38,316 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.01 par value | $12.00 | May 7, 2018 | M | 10,000 | D | Dec 15, 2015 | Dec 15, 2020 | Common Stock, $0.01 par value | 10,000 | 0 | D |
| Common Stock, $0.01 par value | $10.18 | May 7, 2018 | M | 11,788 | D | Dec 15, 2016 | Dec 15, 2021 | Common Stock, $0.01 par value | 11,788 | 0 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 13, 2018.
- F2Represents the weighted average selling price for 10,000 shares sold within the range of $18.0000 and $18.0250. 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 for 11,788 shares sold within the range of $18.0000 and $18.0250. 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.