Filing Details
- Accession Number:
- 0001003344-16-000127
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-12-09 16:15:40
- Reporting Period:
- 2016-12-08
- Filing Date:
- 2016-12-09
- Accepted Time:
- 2016-12-09 16:15:40
- 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 |
|---|---|---|---|---|---|---|---|
| 1625025 | Brent Spann | 10701 S. River Front Parkway, Suite 300 South Jordan UT 84095 | Pres. Hw Stone Div. | 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 | 2016-12-08 | 1,675 | $3.81 | 1,919 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-12-08 | 3,564 | $1.85 | 5,483 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-12-08 | 1,777 | $6.79 | 7,260 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-12-08 | 1,695 | $9.19 | 8,955 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-12-08 | 1,602 | $13.03 | 10,557 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-12-08 | 317 | $17.83 | 10,874 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-12-09 | 10,630 | $23.58 | 244 | No | 4 | S | 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 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | 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 | Disposition | 2016-12-08 | 3,869 | $0.00 | 3,869 | $1.85 |
| Common Stock | Stock Appreciation Rights | Disposition | 2016-12-08 | 2,000 | $0.00 | 2,000 | $3.81 |
| Common Stock | Stock Appreciation Rights | Disposition | 2016-12-08 | 2,499 | $0.00 | 2,499 | $6.79 |
| Common Stock | Stock Appreciation Rights | Disposition | 2016-12-08 | 2,783 | $0.00 | 2,783 | $9.19 |
| Common Stock | Stock Appreciation Rights | Disposition | 2016-12-08 | 3,596 | $0.00 | 3,596 | $13.03 |
| Common Stock | Stock Appreciation Rights | Disposition | 2016-12-08 | 1,315 | $0.00 | 1,315 | $17.83 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2012-09-30 | 2021-09-30 | No | 4 | M | Direct |
| 0 | 2011-09-30 | 2020-09-30 | No | 4 | M | Direct |
| 0 | 2013-09-30 | 2022-09-30 | No | 4 | M | Direct |
| 0 | 2014-09-30 | 2023-09-30 | No | 4 | M | Direct |
| 1,798 | 2015-09-30 | 2024-09-30 | No | 4 | M | Direct |
| 2,630 | 2016-09-30 | 2025-09-30 | No | 4 | M | Direct |
Billionaire Hedge Funds
