Filing Details

Accession Number:
0001104659-11-030069
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-05-18 19:32:03
Reporting Period:
2011-05-16
Filing Date:
2011-05-18
Filing Date Changed:
2011-05-18
Accepted Time:
2011-05-18 20:32:03
Original Submission Date:
Issuer
Cik Name Symbol Sector (SIC) IRS No
1315695 Rockwood Holdings, Inc. ROC Chemicals & Allied Products (2800) 522277366
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1334318 J Robert Zatta C/o Rockwood Holdings, Inc.
100 Overlook Center
Princeton NJ 08540
S.v.p& Chief Financial Officer No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings
Common Stock, Par Value $0.01 Acquisiton 2011-05-16 15,723 $14.61 105,460
Common Stock, Par Value $0.01 Acquisiton 2011-05-16 12,876 $14.61 118,336
Common Stock, Par Value $0.01 Disposition 2011-05-16 15,705 $49.92 102,631
Common Stock, Par Value $0.01 Disposition 2011-05-16 7,522 $51.09 95,109
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock, Par Value $0.01 Per Share Stock Options (right to buy) Disposition 2011-05-16 15,723 $0.00 15,723 $14.61
Common Stock, Par Value $0.01 Per Share Stock Options (right to buy) Disposition 2011-05-16 12,876 $0.00 12,876 $14.61
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
1,389 2014-10-15 No 4 M Direct
18,611 2014-10-15 No 4 M Direct
Footnotes
  1. This transaction was executed in multiple trades at share prices ranging from $49.81 to $50.50. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed pursuant to the terms of a trading plan under SEC Rule 10b5-1.
  2. This transaction was executed in multiple trades at share prices ranging from $51.00 to $51.105. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed pursuant to the terms of a trading plan under SEC Rule 10b5-1.
  3. These time-based options were granted on October 15, 2004 and vested 20% on each of the first five anniversaries of the grant date and expire on October 15, 2014.
  4. These performance-based options were granted on October 15, 2004 and vested 20% on December 31 of each year beginning with 2004 upon achievement of specified performance-based targets and expire on October 15, 2014.
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