SEC Form 4/A · accession 0000947871-15-000048
Rockwood Holdings, Inc. · ROC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Thomas Riordan
Officer — Executive VP & Chief Admin Ofr
Period of report
Jan 8, 2015
Accepted (ET)
Jan 22, 2015 · 12:21 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001315695
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.01 per shareF1 | Jan 8, 2015 | A | 6,871 | $0.00 | A | 38,107 | D | |
| Common Stock, par value $0.01 per shareF2,F3 | Jan 8, 2015 | A | 3,368 | $0.00 | A | 41,475 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of common stock of the Issuer delivered upon vesting of restricted stock units granted in December 2011, the number of which was earned based upon the Issuer's relative shareholder return financial performance over fiscal years 2012-2014 and includes 475 shares representing dividend equivalent rights on such units accrued to the reporting person in connection with the Issuer's quarterly dividends from the second quarter 2013 through the fourth quarter 2014. The amount of dividend equivalents has been corrected following a computational error on the Form 4 filed on 01/12/2015 that reported 298 shares representing dividend equivalent rights accrued on the restricted stock units.
- F2Represents additional shares of common stock of the Issuer that were earned on market stock units granted in December 2011 in addition to the 6,271 target shares reported on December 6, 2011. These additional shares were earned based upon the Issuer's financial performance over fiscal years 2012-2014 and include 232 shares representing dividend equivalent rights accrued to the reporting person on the additional shares in connection with the Issuer's quarterly dividends from the second quarter 2013 through the fourth quarter 2014. The amount of dividend equivalents has been corrected following a computational error on the Form 4 filed on 01/12/2015 that reported 278 shares representing dividend equivalent rights accrued to the reporting person on the additional shares.
- F3Aggregate amount of securities beneficially owned corrected following a computational error on the Form 4 filed on 01/12/2015 that reported 188 additional shares.