Filing Details
- Accession Number:
- 0001104659-11-030069
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-05-18 20:32:03
- Reporting Period:
- 2011-05-16
- Filing Date:
- 2011-05-18
- Accepted Time:
- 2011-05-18 20:32:03
- SEC Url:
- Form 4 Filing
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 | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $0.01 | Acquisiton | 2011-05-16 | 15,723 | $14.61 | 105,460 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 | Acquisiton | 2011-05-16 | 12,876 | $14.61 | 118,336 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 | Disposition | 2011-05-16 | 15,705 | $49.92 | 102,631 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 | Disposition | 2011-05-16 | 7,522 | $51.09 | 95,109 | No | 4 | S | Direct |
| 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
- 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.
- 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.
- 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.
- 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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