Filing Details

Accession Number:
0001003344-12-000040
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-11-09 16:32:14
Reporting Period:
2012-11-08
Filing Date:
2012-11-09
Accepted Time:
2012-11-09 16:32:14
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1003344 Headwaters Inc HW Concrete Products, Except Block & Brick (3272) 870547337
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1249884 M Harlan Hatfield 10653 S. Riverfront Parkway, Suite 300
South Jordan UT 84095
General Counsel No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2012-11-08 1,580 $6.83 19,420 No 4 S Direct
Common Stock Disposition 2012-11-08 549 $6.86 18,871 No 4 S Direct
Restricted Stock Acquisiton 2012-11-08 7,021 $0.00 37,469 No 4 A Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Direct
No 4 A Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Appreciation Rights Acquisiton 2012-11-08 14,042 $0.00 14,042 $6.79
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
14,042 2013-09-30 2022-09-30 No 4 A Direct
Footnotes
  1. Sale proceeds are for the payment of taxes due upon vesting of incentive stock awards.
  2. Vesting pro rata yearly for a period of 3 years on September 30th, subject to stock price performance condition.