SEC Form 4 · accession 0001209191-16-125796
EAGLE MATERIALS INC · EXP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael R Nicolais
Director
Period of report
Jun 1, 2016
Accepted (ET)
Jun 3, 2016 · 6:15 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000918646
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 1, 2016 | M | 1,964 | $37.95 | A | 14,397 | D | |
| Common Stock | Jun 1, 2016 | M | 8,149 | $27.72 | A | 22,546 | D | |
| Common StockF1,F2 | Jun 1, 2016 | F | 3,774 | $79.59 | D | 18,772 | D | |
| Restricted Common Stock Units | holding | — | — | — | 3,814 | D | ||
| Common Stock | holding | — | — | — | 1,550 | I | By Profit Sharing Plan of Reporting Person's Employer | |
| Common Stock | holding | — | — | — | 3,500 | I | By Reporting Person's IRA | |
| Common Stock | holding | — | — | — | 1,386 | I | By Wife's IRA | |
| Common StockF3 | holding | — | — | — | 555 | I | By wife as custodian for daughter | |
| Common StockF3 | holding | — | — | — | 555 | I | By wife as custodian for son |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non Qualified Stock Optin (Right to Buy)F4 | $27.72 | Jun 1, 2016 | M | 8,149 | D | — | Aug 6, 2016 | Common Stock | 8,149 | 0 | D |
| Non Qualified Stock Optin (Right to Buy)F4 | $37.95 | Jun 1, 2016 | M | 1,964 | D | — | Jul 27, 2016 | Common Stock | 1,964 | 0 | D |
Explanation of responses
- F13,774 shares were withheld by Mr. Nicolais to pay for the exercise prices in connection with the exercise of the Non Qualified Stock Options shown in Table II. As a result of these transactions, Mr. Nicolais acquired an additional 6,339 shares of Common Stock.
- F2In accordance with the issuer's Amended and Restated Incentive Plan, this price represents the closing price per share of Common Stock on the exercise date.
- F3These shares are held by wife as custodian for the reporting person's children. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 of the Exchange Act or for any other purpose.
- F4Shares vested immediately on the date the grant was awarded.