SEC Form 4 · accession 0001003344-16-000119
HEADWATERS INC · HW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kirk A Benson
Officer — Chief Executive Officer · Director
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 | G | 25,000 | $0.00 | D | 874,993 | D | |
| Common Stock | Dec 7, 2016 | M | 433,219 | $1.85 | A | 1,308,212 | D | |
| Common Stock | Dec 7, 2016 | M | 83,126 | $13.57 | A | 1,391,338 | D | |
| Common Stock | holding | — | — | — | 300,000 | I | by Corporation |
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 7, 2016 | M | 470,000 | D | Sep 30, 2012 | Sep 30, 2021 | Common Stock | 470,000 | 0 | D |
| Stock Appreciation Rights | $13.57 | Dec 7, 2016 | M | 195,144 | D | Sep 30, 2008 | Sep 30, 2017 | Common Stock | 195,144 | 0 | D |