0001181431-13-028411.txt : 20130516 0001181431-13-028411.hdr.sgml : 20130516 20130516173301 ACCESSION NUMBER: 0001181431-13-028411 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130514 FILED AS OF DATE: 20130516 DATE AS OF CHANGE: 20130516 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NCI BUILDING SYSTEMS INC CENTRAL INDEX KEY: 0000883902 STANDARD INDUSTRIAL CLASSIFICATION: PREFABRICATED METAL BUILDINGS & COMPONENTS [3448] IRS NUMBER: 760127701 STATE OF INCORPORATION: DE FISCAL YEAR END: 1102 BUSINESS ADDRESS: STREET 1: 10943 NORTH SAM HOUSTON PARKWAY W CITY: HOUSTON TEXAS STATE: TX ZIP: 77064 BUSINESS PHONE: 2818977799 MAIL ADDRESS: STREET 1: 10943 NORTH SAM HOUSTON PARKWAY WEST CITY: HOUSTON STATE: TX ZIP: 77064 FORMER COMPANY: FORMER CONFORMED NAME: NATIONAL COMPONENTS INCORPORATED DATE OF NAME CHANGE: 19600201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CLAYTON DUBILIER & RICE FUND VIII LP CENTRAL INDEX KEY: 0001430647 STATE OF INCORPORATION: E9 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14315 FILM NUMBER: 13852556 BUSINESS ADDRESS: STREET 1: UGLAND HOUSE STREET 2: SOUTH CHURCH STREET, CITY: GEORGE TOWN, GRAND CAYMAN STATE: E9 ZIP: KY1-1104 BUSINESS PHONE: 345 949-8066 MAIL ADDRESS: STREET 1: UGLAND HOUSE STREET 2: SOUTH CHURCH STREET, CITY: GEORGE TOWN, GRAND CAYMAN STATE: E9 ZIP: KY1-1104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CD&R FRIENDS & FAMILY FUND VIII LP CENTRAL INDEX KEY: 0001458812 STATE OF INCORPORATION: XX FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14315 FILM NUMBER: 13852555 BUSINESS ADDRESS: STREET 1: C/O M&C CORPORATE SERVICES LTD STREET 2: P.O. BOX 309 CITY: GEORGE TOWN STATE: XX ZIP: KY1-1104 BUSINESS PHONE: 345-949-8066 MAIL ADDRESS: STREET 1: C/O M&C CORPORATE SERVICES LTD STREET 2: P.O. BOX 309 CITY: GEORGE TOWN STATE: XX ZIP: KY1-1104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CD&R ASSOCIATES VIII, LP CENTRAL INDEX KEY: 0001474716 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14315 FILM NUMBER: 13852554 BUSINESS ADDRESS: STREET 1: C/O M&C CORPORATE SERVICES LTD. STREET 2: PO BOX 309 CITY: GEORGE TOWN STATE: E9 ZIP: KY1-1104 BUSINESS PHONE: 345-949-8066 MAIL ADDRESS: STREET 1: C/O M&C CORPORATE SERVICES LTD. STREET 2: PO BOX 309 CITY: GEORGE TOWN STATE: E9 ZIP: KY1-1104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CD&R Investment Associates VIII, Ltd. CENTRAL INDEX KEY: 0001474785 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14315 FILM NUMBER: 13852553 BUSINESS ADDRESS: STREET 1: C/O M&C CORPORATE SERVICES LTD. STREET 2: PO BOX 309 CITY: GEORGE TOWN STATE: E9 ZIP: KY1-1104 BUSINESS PHONE: 345-949-8066 MAIL ADDRESS: STREET 1: C/O M&C CORPORATE SERVICES LTD. STREET 2: PO BOX 309 CITY: GEORGE TOWN STATE: E9 ZIP: KY1-1104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CD&R Associates VIII, Ltd. CENTRAL INDEX KEY: 0001474786 STATE OF INCORPORATION: E9 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14315 FILM NUMBER: 13852557 BUSINESS ADDRESS: STREET 1: C/O M&C CORPORATE SERVICES LTD. STREET 2: P.O. BOX 309 CITY: GEORGE TOWN STATE: E9 ZIP: KY1-1104 BUSINESS PHONE: 345-949-8066 MAIL ADDRESS: STREET 1: C/O M&C CORPORATE SERVICES LTD. STREET 2: P.O. BOX 309 CITY: GEORGE TOWN STATE: E9 ZIP: KY1-1104 4 1 rrd380118.xml FORM 4 X0306 4 2013-05-14 0 0000883902 NCI BUILDING SYSTEMS INC NCS 0001474786 CD&R Associates VIII, Ltd. C/O CLAYTON, DUBILIER & RICE, INC. 375 PARK AVENUE, 18TH FLOOR NEW YORK NY 10152 0 0 1 0 0001430647 CLAYTON DUBILIER & RICE FUND VIII LP C/O CLAYTON & DUBILIER & RICE, INC. 375 PARK AVENUE, 18TH FLOOR NEW YORK NY 10152 0 0 1 0 0001458812 CD&R FRIENDS & FAMILY FUND VIII LP C/O CLAYTON, DUBILIER & RICE, INC. 375 PARK AVENUE, 18TH FLOOR NEW YORK NY 10152 0 0 1 0 0001474716 CD&R ASSOCIATES VIII, LP C/O CLAYTON, DUBILIER & RICE, INC. 375 PARK AVENUE, 18TH FLOOR NEW YORK NY 10152 0 0 1 0 0001474785 CD&R Investment Associates VIII, Ltd. C/O CLAYTON, DUBILIER & RICE, INC. 375 PARK AVENUE, 18TH FLOOR NEW YORK NY 10152 0 0 1 0 Common Stock, $0.01 par value 2013-05-14 4 C 0 54136817 0 A 54136817 I See note Series B Cumulative Conv. Participating Preferred Stock 6.374 2013-05-14 4 C 0 339293.4704 D Common Stock, $0.01 par value 54136817 0 I See note This conversion price ("Conversion Price") was calculated based on an initial conversion price of $1.2748 adjusted to give effect to the 1 for 5 reverse stock split of the common stock, par value $0.01 (the "Common Stock") of the issuer that became effective on March 5, 2010 (the "Reverse Stock Split"). On May 14, 2013 Clayton, Dubilier & Rice Fund VIII, LP ("Fund VIII") and CD&R Friends & Family Fund VIII, LP ("F&F VIII") delivered a Notice of Conversion to the issuer exercising the right to convert (i) in the aggregate, 339,293.4704 shares of Series B Cumulative Convertible Participating Preferred Stock (the "Series B Stock") into shares of Common Stock and (ii) undeclared and unpaid dividends of $5,774,610.52 accrued in 2009 with respect to the Series B Stock into shares of Common Stock. In connection with such conversion (the "Conversion"), the issuer issued, for no additional consideration pursuant to the terms of the Amended and Restated Certificate of Designations relating to the Series B Stock, 54,001,628 shares of Common Stock to Fund VIII and 135,189 shares of Common Stock to F&F VIII. The terms and conditions of the Series B Stock were previously disclosed in the Form 3 and Forms 4 relating to Fund VIII's and F&F VIII's acquisition and ownership of Series B Stock. Prior to the Conversion, Fund VIII directly owned 338,439.8334 shares of the Series B Stock and F&F VIII directly owned 853.6370 shares of the Series B Stock. As general partner of both Fund VIII and F&F VIII, CD&R Associates VIII, Ltd. may have been deemed to own directly a total of 339,293.4704 shares of Series B Stock. CD&R Associates VIII, L.P., CD&R Associates VIII, Ltd. and CD&R Investment Associates VIII, Ltd. expressly disclaimed beneficial ownership of the shares of Series B Stock previously held by Fund VIII and F&F VIII. CD&R Associates VIII, Ltd. is a wholly-owned subsidiary of CD&R Associates VIII, L.P., of which CD&R Investment Associates VIII, Ltd. is the general partner. Following the Conversion, Fund VIII directly owns 54,001,628 shares of Common Stock and and F&F VIII directly owns 135,189 shares of Common Stock. As general partner of both Fund VIII and F&F VIII, CD&R Associates VIII, Ltd. may be deemed to own directly a total of 54,137,817 shares of Common Stock. CD&R Associates VIII, L.P., CD&R Associates VIII, Ltd. and CD&R Investment Associates VIII, Ltd. expressly disclaim beneficial ownership of the shares of Common Stock held by Fund VIII and F&F VIII. CD&R Associates VIII, Ltd. is a wholly-owned subsidiary of CD&R Associates VIII, L.P., of which CD&R Investment Associates VIII, Ltd. is the general partner. CD&R Associates VIII, Ltd. By: Theresa A. Gore, VP, Treas. and Asst. Sec. 2013-05-16 Clayton, Dubilier & Rice Fund VIII, L.P. By: CD&R Associates VIII, Ltd., its general partner By: Theresa A. Gore, VP, Treas. and Asst. Sec. 2013-05-16 CD&R Friends & Family Fund VIII, L.P. By: CD&R Associates VIII, Ltd., its general partner By: Theresa A. Gore, VP, Treas. and Asst. Sec. 2013-05-16 CD&R Associates VIII, L.P. By: CD&R Investment Associates VIII, Ltd., its general partner By: Theresa A. Gore, VP, Treas. and Asst. Sec. 2013-05-16 CD&R Investment Associates VIII, Ltd. By: Theresa A. Gore, VP, Treas. and Asst. Sec. 2013-05-16