Filing Details
- Accession Number:
- 0001104659-12-082194
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-12-05 18:59:48
- Reporting Period:
- 2012-12-03
- Filing Date:
- 2012-12-05
- Accepted Time:
- 2012-12-05 18:59:48
- 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 |
|---|---|---|---|---|---|---|---|
| 1334630 | Thomas Riordan | C/O Rockwood Holdings, Inc. 100 Overlook Center Princeton NJ 08540 | Sen Vp, Law & Administration | 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 | 2012-12-03 | 9,700 | $14.61 | 115,630 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 | Disposition | 2012-12-03 | 9,700 | $46.31 | 105,930 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 | Acquisiton | 2012-12-05 | 17,901 | $14.61 | 123,831 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 | Disposition | 2012-12-05 | 17,901 | $46.29 | 105,930 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | 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 | 2012-12-03 | 9,700 | $0.00 | 9,700 | $14.61 |
| Common Stock, Par Value $0.01 Per Share | Stock Options (right to buy) | Disposition | 2012-12-05 | 17,901 | $0.00 | 17,901 | $14.61 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 24,525 | 2014-10-15 | No | 4 | M | Direct | |
| 6,624 | 2014-10-15 | No | 4 | M | Direct |
Footnotes
- This transaction was executed in multiple trades at share prices ranging from $46.25 to $46.49. 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 in multiple trades at share prices ranging from $46.25 to $46.54. 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.
- These performance-based options were granted on October 15, 2004 and vested in five equal annual installments in 2009 pursuant to achievement of certain specified performance-based targets.
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