SEC Form 4 · accession 0001003344-16-000118
HEADWATERS INC · HW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Harlan M Hatfield
Officer — General Counsel
Period of report
Dec 7, 2016
Accepted (ET)
Dec 7, 2016 · 6:09 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 7, 2016 | M | 9,889 | $13.57 | A | 28,760 | 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 | $13.57 | Dec 7, 2016 | M | 23,216 | D | Sep 30, 2008 | Sep 30, 2017 | Common Stock | 23,216 | 0 | D |