Filing Details
- Accession Number:
- 0001104659-14-082380
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-11-20 16:12:28
- Reporting Period:
- 2014-11-18
- Filing Date:
- 2014-11-20
- Accepted Time:
- 2014-11-20 16:12:28
- 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 |
|---|---|---|---|---|---|---|---|
| 1334296 | Seifi Ghasemi | C/O Rockwood Holdings, Inc. 100 Overlook Center Princeton NJ 08540 | Yes | No | 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 Per Share | Acquisiton | 2014-11-18 | 140,426 | $32.39 | 851,856 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2014-11-18 | 140,426 | $79.08 | 711,430 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Acquisiton | 2014-11-19 | 317,737 | $9.18 | 1,029,167 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2014-11-19 | 317,737 | $78.88 | 711,430 | 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 | 2014-11-18 | 140,426 | $0.00 | 140,426 | $32.39 |
| Common Stock, Par Value $0.01 Per Share | Stock Options (right to buy) | Disposition | 2014-11-19 | 317,737 | $0.00 | 317,737 | $9.18 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2014-12-14 | No | 4 | M | Direct | |
| 0 | 2015-12-12 | No | 4 | M | Direct |
Footnotes
- This transaction was executed in multiple trades at share prices ranging from $78.91 to $79.37. 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 $78.73 to $79.12. 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 time-based stock options were granted on December 14, 2007 and vested and became exercisable by the holder in three equal annual installments beginning on December 31, 2008.
- These time-based stock options were granted on December 12, 2008 and vested and became exercisable by the holder in three equal annual installments beginning on December 31, 2009.
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