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Home > Insider Trading > Filing (0001003344-12-000040)

Filing Details

Accession Number:: 0001003344-12-000040
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2012-11-09 16:32:14
Reporting Period:: 2012-11-08

Filing Date:: 2012-11-09
Accepted Time:: 2012-11-09 16:32:14
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	10653 S. Riverfront Parkway, Suite 300 South Jordan UT 84095	General Counsel	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	Disposition	2012-11-08	1,580	$6.83	19,420	No	4	S	Direct
Common Stock	Disposition	2012-11-08	549	$6.86	18,871	No	4	S	Direct
Restricted Stock	Acquisiton	2012-11-08	7,021	$0.00	37,469	No	4	A	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Direct
No	4	S	Direct
No	4	A	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	Acquisiton	2012-11-08	14,042	$0.00	14,042	$6.79

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
14,042	2013-09-30	2022-09-30	No	4	A	Direct

Footnotes

Sale proceeds are for the payment of taxes due upon vesting of incentive stock awards.
Vesting pro rata yearly for a period of 3 years on September 30th, subject to stock price performance condition.