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Home > Insider Trading > Filing (0001003344-13-000014)

Filing Details

Accession Number:: 0001003344-13-000014
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-03-12 19:42:17
Reporting Period:: 2013-03-12

Filing Date:: 2013-03-12
Accepted Time:: 2013-03-12 19:42:17
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
1541874	E. Stephanie Black	10653 S. Riverfront Parkway, Suite 300 South Jordan UT 84095	President Hti Group	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2013-03-12	4,670	$3.81	11,058	No	4	M	Direct
Common Stock	Disposition	2013-03-12	1,716	$0.00	9,342	No	4	D	Direct
Common Stock	Acquisiton	2013-03-12	7,914	$4.60	17,256	No	4	M	Direct
Common Stock	Disposition	2013-03-12	3,511	$0.00	13,745	No	4	D	Direct
Common Stock	Acquisiton	2013-03-12	13,925	$1.85	27,670	No	4	M	Direct
Common Stock	Disposition	2013-03-12	2,485	$0.00	25,185	No	4	D	Direct
Common Stock	Disposition	2013-03-12	13,797	$10.31	11,388	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	D	Direct
No	4	M	Direct
No	4	D	Direct
No	4	M	Direct
No	4	D	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Appreciation Rights	Disposition	2013-03-12	13,925	$0.00	13,925	$1.85
Common Stock	Stock Appreciation Rights	Disposition	2013-03-12	4,670	$0.00	4,670	$3.81
Common Stock	Stock Appreciation Rights	Disposition	2013-03-12	7,914	$0.00	7,914	$4.60

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
27,848	2012-09-30	2021-09-30	No	4	M	Direct
2,335	2011-09-30	2020-09-30	No	4	M	Direct
0	2010-09-30	2019-09-30	No	4	M	Direct