SEC Form 4 · accession 0001003344-15-000029
HEADWATERS INC · HW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brent Spann
Officer — Pres. HW Stone Div.
Period of report
May 7, 2015
Accepted (ET)
May 8, 2015 · 6:09 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001003344
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 7, 2015 | M | 4,871 | $1.85 | A | 5,115 | D | |
| Common Stock | May 7, 2015 | D | 4,871 | $19.71 | D | 244 | D | |
| Common Stock | May 7, 2015 | M | 1,619 | $13.57 | A | 1,863 | D | |
| Common Stock | May 7, 2015 | M | 2,602 | $9.84 | A | 4,465 | D | |
| Common Stock | May 7, 2015 | M | 1,992 | $4.60 | A | 6,457 | D | |
| Common Stock | May 7, 2015 | M | 1,555 | $3.81 | A | 8,012 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Cash Settled Stock Appreciation Rights | $1.85 | May 7, 2015 | M | 4,871 | D | Sep 30, 2012 | Sep 30, 2016 | Common Stock | 4,871 | 0 | D |
| Stock Appreciation Rights | $3.81 | May 7, 2015 | M | 1,928 | D | Sep 30, 2011 | Sep 30, 2020 | Common Stock | 1,928 | 2,000 | D |
| Stock Appreciation Rights | $4.60 | May 7, 2015 | M | 2,599 | D | Sep 30, 2010 | Sep 30, 2019 | Common Stock | 2,599 | 0 | D |
| Stock Appreciation Rights | $9.84 | May 7, 2015 | M | 5,198 | D | Sep 30, 2009 | Sep 30, 2018 | Common Stock | 5,198 | 0 | D |
| Stock Appreciation Rights | $13.57 | May 7, 2015 | M | 5,198 | D | Sep 30, 2008 | Sep 30, 2017 | Common Stock | 5,198 | 0 | D |
Explanation of responses
- F1SAR Settled in Cash Only.