SEC Form 4 · accession 0001003344-16-000130
HEADWATERS INC · HW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Murphy Lents
Officer — Pres. HW Siding & Roofing Div.
Period of report
Dec 14, 2016
Accepted (ET)
Dec 15, 2016 · 2:52 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 14, 2016 | M | 6,293 | $9.19 | A | 6,293 | D | |
| Common Stock | Dec 14, 2016 | M | 12,535 | $9.84 | A | 18,828 | D | |
| Common Stock | Dec 14, 2016 | M | 9,152 | $13.57 | A | 27,980 | D | |
| Common Stock | Dec 14, 2016 | M | 13,784 | $6.79 | A | 41,764 | D | |
| Common Stock | Dec 15, 2016 | S | 11,475 | $23.6368 | D | 30,289 | 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 | $6.79 | Dec 14, 2016 | M | 19,332 | D | Sep 30, 2013 | Sep 30, 2022 | Common Stock | 19,332 | 0 | D |
| Stock Appreciation Rights | $9.19 | Dec 14, 2016 | M | 10,291 | D | Sep 30, 2014 | Sep 30, 2023 | Common Stock | 10,291 | 0 | D |
| Stock Appreciation Rights | $9.84 | Dec 14, 2016 | M | 21,461 | D | Sep 30, 2009 | Sep 30, 2018 | Common Stock | 21,461 | 0 | D |
| Stock Appreciation Rights | $13.57 | Dec 14, 2016 | M | 21,461 | D | Sep 30, 2008 | Sep 30, 2017 | Common Stock | 21,461 | 0 | D |