SEC Form 4 · accession 0001003344-16-000115
HEADWATERS INC · HW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald P Newman
Officer — Chiel Financial Officer
Period of report
Dec 6, 2016
Accepted (ET)
Dec 7, 2016 · 5:00 pm EST
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 | Dec 6, 2016 | M | 55,296 | $1.85 | A | 96,296 | D | |
| Common Stock | Dec 6, 2016 | M | 30,117 | $4.39 | A | 126,413 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Rights | $1.85 | Dec 6, 2016 | M | 60,000 | D | Sep 30, 2012 | Sep 30, 2021 | Common Stock | 60,000 | 70,788 | D |
| Stock Appreciation Rights | $4.39 | Dec 6, 2016 | M | 37,000 | D | Sep 30, 2011 | Sep 30, 2020 | Common Stock | 37,000 | 0 | D |