Filing Details
- Accession Number:
- 0001104659-10-040885
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-07-30 13:00:00
- Reporting Period:
- 2010-07-29
- Filing Date:
- 2010-07-30
- Accepted Time:
- 2010-07-30 18:00:26
- 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 | Senior Vp, Law & Admin | 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 | 2010-07-29 | 61,607 | $14.61 | 110,926 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 | Disposition | 2010-07-29 | 61,607 | $28.53 | 49,319 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 | Acquisiton | 2010-07-29 | 38,451 | $14.61 | 87,770 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 | Disposition | 2010-07-29 | 38,451 | $28.61 | 49,319 | 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 | 2010-07-29 | 61,607 | $0.00 | 61,607 | $14.61 |
| Common Stock, Par Value $0.01 Per Share | Stock Options (right to buy) | Disposition | 2010-07-29 | 38,451 | $0.00 | 38,451 | $14.61 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 6,844 | 2011-02-02 | No | 4 | M | Direct | |
| 0 | 2011-02-02 | No | 4 | M | Direct |
Footnotes
- This transaction was executed in multiple trades at share prices ranging from $28.3073 to $28.9900. 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 $28.3675 to $28.8600. 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 options were granted on February 2, 2001 and vested 10% on each of the first and second anniversary of the grant date, 25% on each of the third and fourth anniversary of the grant date and 30% on the fifth anniversary of the grant date and expire on February 2, 2011.
- These options were granted on February 2, 2001 and vested pursuant to achievement of certain performance targets and expire on February 2, 2011.
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