Filing Details
- Accession Number:
- 0001003344-11-000048
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-07 19:32:22
- Reporting Period:
- 2011-11-03
- Filing Date:
- 2011-11-07
- Accepted Time:
- 2011-11-07 19:32:22
- 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 | 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 | 2011-11-03 | 21,350 | $1.90 | 959,993 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2011-11-03 | 12,168 | $1.90 | 300,000 | No | 4 | P | Indirect | by Corporation |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Indirect | by Corporation |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Appreciation Rights | Acquisiton | 2011-11-05 | 470,827 | $0.00 | 470,827 | $1.85 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 470,827 | 2012-09-30 | 2021-09-30 | No | 4 | A | Direct |
Footnotes
- Vesting pro rata yearly for a period of 3 years on September 30th
Billionaire Hedge Funds
