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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Headwaters Incorporated (delisted) | NYSE:HW | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 24.24 | 0 | 01:00:00 |
FORM 3
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Washington, D.C. 20549 |
OMB APPROVAL
OMB Number: 3235-0104 Expires: November 30, 2011 Estimated average burden hours per response... 0.5 |
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1. Name and Address of Reporting Person * Black Stephanie E. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
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3. Issuer Name and Ticker or Trading Symbol HEADWATERS INC [HW] |
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___ X ___ Officer (give title below) _____ Other (specify below) President HTI Group / |
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Beneficially Owned |
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1.Title of Security
(Instr. 4) |
2. Amount of Securities Beneficially Owned
(Instr. 4) |
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) |
4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
Common Stock | 6388 | D | |
Common Stock ESPP | 16870 | D |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 4) |
2. Date Exercisable and Expiration Date
(MM/DD/YYYY) |
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) |
6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Incentive Stock Option | 3/31/2004 (1) | 5/6/2013 | Common Stock | 5000 | $16.89 | D | |
Incentive Stock Option | 3/31/2005 | 4/21/2014 | Common Stock | 3019 | $23.79 | D | |
Non-Qualified Stock Option | 3/31/2003 (2) | 6/10/2012 | Common Stock | 7500 | $13.73 | D | |
Non-Qualified Stock Option | 3/31/2005 | 4/21/2014 | Common Stock | 2854 | $23.79 | D | |
Non-Qualified Stock Option | 3/31/2005 | 9/23/2014 | Common Stock | 5000 | $28.31 | D | |
Stock Appreciation Rights | 9/30/2012 | 9/30/2021 | Common Stock | 41773 | $1.85 | D | |
Stock Appreciation Rights | 9/30/2011 | 9/30/2020 | Common Stock | 7005 | $3.81 | D | |
Stock Appreciation Rights | 9/30/2010 | 9/30/2019 | Common Stock | 7914 | $4.6 | D | |
Stock Appreciation Rights | 9/30/2009 | 9/30/2018 | Common Stock | 7914 | $9.84 | D | |
Stock Appreciation Rights | 9/30/2008 | 9/30/2017 | Common Stock | 7914 | $13.57 | D |
Explanation of Responses: | |
( 1) | Stock Options Vest pro rata yearly for a period of 3 years on Mar 31st of each vesting year. |
( 2) | Stock Options vest pro rata yearly for a period of 3 years. |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
Black Stephanie E.
10653 S. RIVERFRONT PARKWAY, SUITE 300 SOUTH JORDAN, UT 84095 |
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President HTI Group |
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Signatures
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By: Harlan M. Hatfield For: Stephanie E. Black | 3/13/2012 | |
** Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1 Year Headwaters Chart |
1 Month Headwaters Chart |
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