Filing Details

Accession Number:
0001003344-15-000061
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-11-05 19:17:51
Reporting Period:
2015-11-04
Filing Date:
2015-11-05
Accepted Time:
2015-11-05 19:17:51
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
1249884 M Harlan Hatfield 10701 S. River Front Parkway, Suite 300
South Jordan UT 84095
General Counsel 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
Restricted Stock Acquisiton 2015-11-04 5,482 $0.00 58,516 No 4 A Direct
Restricted Stock Disposition 2015-11-05 2,788 $17.79 55,728 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Appreciation Rights Acquisiton 2015-11-04 10,422 $0.00 10,422 $17.83
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
10,422 2016-09-30 2025-09-30 No 4 A Direct
Footnotes
  1. Vesting pro rata yearly for a period of 3 years on September 30th, subject to performance condition.
  2. Sale proceeds are for the payment of taxes due upon vesting of incentive stock awards.