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Home > Insider Trading > Filing (0001003344-13-000015)

Filing Details

Accession Number:: 0001003344-13-000015
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-03-12 19:42:31
Reporting Period:: 2013-03-12

Filing Date:: 2013-03-12
Accepted Time:: 2013-03-12 19:42:31
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
1542852	S. David Ulmer	10653 S. Riverfront Parkway, Suite 300 South Jordan UT 84095	President Tapco	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	6,287	$3.81	14,780	No	4	M	Direct
Common Stock	Acquisiton	2013-03-12	13,821	$4.60	28,601	No	4	M	Direct
Common Stock	Acquisiton	2013-03-12	32,581	$1.85	61,182	No	4	M	Direct
Common Stock	Disposition	2013-03-12	38,611	$10.29	22,571	No	4	S	Direct
Common Stock	Disposition	2013-03-12	2,282	$0.00	20,289	No	4	D	Direct
Common Stock	Disposition	2013-03-12	6,055	$0.00	14,234	No	4	D	Direct
Common Stock	Disposition	2013-03-12	5,741	$0.00	8,493	No	4	D	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct
No	4	D	Direct
No	4	D	Direct
No	4	D	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	32,581	$0.00	32,581	$1.85
Common Stock	Stock Appreciation Rights	Disposition	2013-03-12	6,287	$0.00	6,287	$3.81
Common Stock	Stock Appreciation Rights	Disposition	2013-03-12	13,821	$0.00	13,821	$4.60

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
65,160	2012-09-30	2021-09-30	No	4	M	Direct
3,144	2011-09-30	2020-09-30	No	4	M	Direct
0	2010-09-30	2019-09-30	No	4	M	Direct