Statement of Changes in Beneficial Ownership (4)
December 21 2020 - 4:27PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
GRIFFITHS WILLIAM C |
2. Issuer Name and Ticker or Trading Symbol
Quanex Building Products CORP
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NX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Executive Chairman |
(Last)
(First)
(Middle)
1800 WEST LOOP SOUTH, SUITE 1500 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/17/2020 |
(Street)
HOUSTON, TX 77027
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 12/17/2020 | | M | | 8132 | A | $14.75 | 241768 | D | |
Common Stock | 12/17/2020 | | S | | 8132 | D | $22.5125 (1) | 233636 | D | |
Common Stock | 12/17/2020 | | M | | 5987 | A | $19.77 | 239623 | D | |
Common Stock | 12/17/2020 | | S | | 5987 | D | $22.5125 (1) | 233636 | D | |
Common Stock | 12/18/2020 | | M | | 100000 | A | $16.72 | 333636 | D | |
Common Stock | 12/18/2020 | | S | | 100000 | D | $22.6663 (2) | 233636 | D | |
Common Stock | 12/21/2020 | | M | | 11150 | A | $16.72 | 244786 | D | |
Common Stock | 12/21/2020 | | S | | 11150 | D | $22.5001 (3) | 233636 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Options (Right to Buy) | $14.75 | 12/17/2020 | | M | | | 8132 | 10/31/2011 (4) | 10/31/2021 | Common Stock | 8132 | $0 | 0 | D | |
Stock Options (Right to Buy) | $19.77 | 12/17/2020 | | M | | | 5987 | 10/31/2012 (4) | 10/31/2022 | Common Stock | 5987 | $0 | 0 | D | |
Stock Options (Right to Buy) | $16.72 | 12/18/2020 | | M | | | 100000 | (5) | 7/9/2023 | Common Stock | 100000 | $0 | 75500 | D | |
Stock Options (Right to Buy) | $16.72 | 12/21/2020 | | M | | | 11150 | (5) | 7/9/2023 | Common Stock | 11150 | $0 | 64350 | D | |
Explanation of Responses: |
(1) | The price reported in Column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $22.50 to $22.595, inclusive. The reporting person undertakes to provide to Quanex Building Products Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
(2) | The price reported in Column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $22.50 to $22.905, inclusive. The reporting person undertakes to provide to Quanex Building Products Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
(3) | The price reported in Column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $22.50 to $22.515, inclusive. The reporting person undertakes to provide to Quanex Building Products Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
(4) | The option became 100% exercisable immediately in whole or in part. |
(5) | The option vested in three equal annual installments beginning on July 9, 2014. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
GRIFFITHS WILLIAM C 1800 WEST LOOP SOUTH, SUITE 1500 HOUSTON, TX 77027 | X |
| Executive Chairman |
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Signatures
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/s/ Paul B. Cornett, Power of Attorney | | 12/21/2020 |
**Signature of Reporting Person | Date |
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