Form4insider filings, from the source

SEC Form 4 · accession 0001003344-16-000127

HEADWATERS INC · HW

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

Reporting owner
Brent Spann
Officer — Pres. HW Stone Div.
Period of report
Dec 8, 2016
Accepted (ET)
Dec 9, 2016 · 4:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001003344

Table I — non-derivative securities

SecurityDateCodeSharesPriceA/DOwned afterD/INature of ownership
Common StockDec 8, 2016M1,675$3.81A1,919D
Common StockDec 8, 2016M3,564$1.85A5,483D
Common StockDec 8, 2016M1,777$6.79A7,260D
Common StockDec 8, 2016M1,695$9.19A8,955D
Common StockDec 8, 2016M1,602$13.03A10,557D
Common StockDec 8, 2016M317$17.83A10,874D
Common StockDec 9, 2016S10,630$23.5779D244D

Table II — derivative securities

SecurityConv. / exercise priceDateCodeSharesA/DExercisableExpiresUnderlyingUnderlying sharesOwned afterD/I
Stock Appreciation Rights$1.85Dec 8, 2016M3,869DSep 30, 2012Sep 30, 2021Common Stock3,8690D
Stock Appreciation Rights$3.81Dec 8, 2016M2,000DSep 30, 2011Sep 30, 2020Common Stock2,0000D
Stock Appreciation Rights$6.79Dec 8, 2016M2,499DSep 30, 2013Sep 30, 2022Common Stock2,4990D
Stock Appreciation Rights$9.19Dec 8, 2016M2,783DSep 30, 2014Sep 30, 2023Common Stock2,7830D
Stock Appreciation Rights$13.03Dec 8, 2016M3,596DSep 30, 2015Sep 30, 2024Common Stock3,5961,798D
Stock Appreciation Rights$17.83Dec 8, 2016M1,315DSep 30, 2016Sep 30, 2025Common Stock1,3152,630D