SEC Form 4 · accession 0001003344-16-000108
HEADWATERS INC · HW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Gehrmann
Officer — Pres. Headwaters Resources
Period of report
Sep 6, 2016
Accepted (ET)
Sep 7, 2016 · 5:10 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 | Sep 6, 2016 | M | 71,801 | $1.85 | A | 82,001 | D | |
| Common Stock | Sep 6, 2016 | D | 71,801 | $17.44 | D | 10,200 | 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 | Sep 6, 2016 | M | 71,801 | D | Sep 30, 2012 | Sep 30, 2016 | Common Stock | 71,801 | 0 | D |
Explanation of responses
- F1SAR Settled in Cash Only.