Filing Details
- Accession Number:
- 0001003344-15-000056
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-11-05 19:14:35
- Reporting Period:
- 2015-11-04
- Filing Date:
- 2015-11-05
- Accepted Time:
- 2015-11-05 19:14:35
- 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 |
|---|---|---|---|---|---|---|---|
| 1077606 | A Kirk Benson | 10701 S. River Front 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock | Acquisiton | 2015-11-04 | 39,183 | $0.00 | 418,857 | No | 4 | A | Direct | |
| Restricted Stock | Disposition | 2015-11-05 | 18,192 | $18.90 | 400,665 | 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 | 74,492 | $0.00 | 74,492 | $17.83 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 74,492 | 2016-09-30 | 2025-09-30 | No | 4 | A | Direct |
Footnotes
- Vesting pro rata yearly for a period of 3 years on September 30th, subject to performance condition.
- Sale proceeds are for the payment of taxes due upon vesting of incentive stock awards.
Billionaire Hedge Funds
