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
| 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
| 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 |
Billionaire Hedge Funds
