Form4insider filings, from the source

SEC Form 4 · accession 0001003344-16-000104

HEADWATERS INC · HW

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner
Bob L. Whisnant
Officer — President HCM, Block Group
Period of report
Aug 15, 2016
Accepted (ET)
Aug 16, 2016 · 5:16 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001003344

Table I — non-derivative securities

SecurityDateCodeSharesPriceA/DOwned afterD/INature of ownership
Common StockAug 15, 2016M2,762$13.57A8,808D
Common StockAug 15, 2016M4,382$9.84A13,190D
Common StockAug 15, 2016M9,614$4.60A22,804D
Common StockAug 15, 2016M16,132$3.81A38,936D

Table II — derivative securities

SecurityConv. / exercise priceDateCodeSharesA/DExercisableExpiresUnderlyingUnderlying sharesOwned afterD/I
Stock Appreciation Rights$3.81Aug 15, 2016M19,945DSep 30, 2011Sep 30, 2020Common Stock19,9450D
Stock Appreciation Rights$4.60Aug 15, 2016M12,500DSep 30, 2010Sep 30, 2019Common Stock12,5000D
Stock Appreciation Rights$9.84Aug 15, 2016M8,656DSep 30, 2009Sep 30, 2018Common Stock8,6560D
Stock Appreciation Rights$13.57Aug 15, 2016M8,656DSep 30, 2008Sep 30, 2017Common Stock8,6560D