Filing Details
- Accession Number:
- 0001003344-10-000004
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-02-01 12:00:00
- Reporting Period:
- 2010-01-15
- Filing Date:
- 2010-02-01
- Accepted Time:
- 2010-02-01 20:06:10
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1003344 | Headwaters Inc | HW | Miscellaneous Products Of Petroleum & Coal (2990) | 870547337 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1077606 | A Kirk Benson | 10653 S. Riverfront Parkway, Suite 300 South Jordan UT 84095 | Chief Executive Officer | Yes | 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 | 2010-01-15 | 6,100 | $12.50 | 756,043 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2010-01-15 | 2,600 | $15.00 | 758,643 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Short Put (obligation to buy) | Disposition | 2010-01-15 | 6,100 | $0.00 | 6,100 | $12.50 |
| Common Stock | Short Put (obligation to buy) | Disposition | 2010-01-15 | 2,600 | $0.00 | 2,600 | $15.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2008-11-06 | 2010-01-16 | No | 4 | S | Direct |
| 0 | 2008-05-06 | 2010-01-31 | No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 287,832 | Indirect | by Corporation |
Footnotes
- The reporting person bought 6,100 shares at $12.50 per share pursuant to a stock purchase agreement dated November 6, 2008.
- The reporting person bought 2,600 shares at $15 per share pursuant to a stock purchase agreement dated November 9, 2007.
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