SEC Form 4 · accession 0001104659-17-030842
HEADWATERS INC · HW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
R Sam Christensen
Director
Period of report
May 8, 2017
Accepted (ET)
May 8, 2017 · 9:52 pm EDT
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 STOCKF1 | May 8, 2017 | D | 27,671 | — | D | 0 | I | By LLC |
| COMMON STOCKF2 | May 8, 2017 | D | 42,329 | — | D | 0 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Disposed of pursuant to the merger agreement between issuer and Boral Limited in exchange for the per-share right to receive $24.25 in cash, without interest.
- F2Consists of restricted stock units canceled in the merger in exchange for $24.25 per share in cash, without interest, and amounts deferred under the Headwaters Director Deferred Compensation Plan, which were deemed invested in the issuer's common stock. Each share of issuer's common stock purchased by the issuer and held as treasury stock immediately prior to the effective time of the merger was canceled with the director receiving a cash payment of $24.25 per share, without interest.