0001104659-17-030833.txt : 20170508
0001104659-17-030833.hdr.sgml : 20170508
20170508214927
ACCESSION NUMBER: 0001104659-17-030833
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170508
FILED AS OF DATE: 20170508
DATE AS OF CHANGE: 20170508
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: HEADWATERS INC
CENTRAL INDEX KEY: 0001003344
STANDARD INDUSTRIAL CLASSIFICATION: CONCRETE PRODUCTS, EXCEPT BLOCK & BRICK [3272]
IRS NUMBER: 870547337
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0930
BUSINESS ADDRESS:
STREET 1: 10701 SOUTH RIVERFRONT PARKWAY
STREET 2: SUITE 300
CITY: SOUTH JORDAN
STATE: UT
ZIP: 84095
BUSINESS PHONE: 8019849400
MAIL ADDRESS:
STREET 1: 10701 SOUTH RIVERFRONT PARKWAY
STREET 2: SUITE 300
CITY: SOUTH JORDAN
STATE: UT
ZIP: 84095
FORMER COMPANY:
FORMER CONFORMED NAME: COVOL TECHNOLOGIES INC
DATE OF NAME CHANGE: 19951113
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Gehrmann William
CENTRAL INDEX KEY: 0001308589
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32459
FILM NUMBER: 17824233
MAIL ADDRESS:
STREET 1: 10653 S. RIVER FRONT PARKWAY
STREET 2: SUITE 300
CITY: SOUTH JORDAN
STATE: UT
ZIP: 84095
4
1
a4.xml
4
X0306
4
2017-05-08
1
0001003344
HEADWATERS INC
HW
0001308589
Gehrmann William
10701 S. RIVER FRONT PARKWAY, SUITE 300
SOUTH JORDAN
UT
84095
0
1
0
0
Pres. Headwaters Resources
COMMON STOCK
2017-05-08
4
D
0
77131
D
0
D
STOCK APPRECIATION RIGHTS
13.57
2017-05-08
4
D
0
32813
D
2008-09-30
2017-09-30
Common Stock
32813
0
D
STOCK APPRECIATION RIGHTS
9.84
2017-05-08
4
D
0
32813
D
2009-09-30
2018-09-30
Common Stock
32813
0
D
STOCK APPRECIATION RIGHTS
4.60
2017-05-08
4
D
0
40000
D
2010-09-30
2019-09-30
Common Stock
40000
0
D
STOCK APPRECIATION RIGHTS
3.81
2017-05-08
4
D
0
32927
D
2011-09-30
2020-09-30
Common Stock
32927
0
D
STOCK APPRECIATION RIGHTS
1.85
2017-05-08
4
D
0
105904
D
2012-09-30
2021-09-30
Common Stock
105904
0
D
STOCK APPRECIATION RIGHTS
6.79
2017-05-08
4
D
0
21049
D
2013-09-30
2022-09-30
Common Stock
21049
0
D
STOCK APPRECIATION RIGHTS
9.19
2017-05-08
4
D
0
10291
D
2014-09-30
2023-09-30
Common Stock
10291
0
D
STOCK APPRECIATION RIGHTS
13.03
2017-05-08
4
D
0
7917
D
2015-09-30
2024-09-30
Common Stock
7917
0
D
STOCK APPRECIATION RIGHTS
17.83
2017-05-08
4
D
0
11807
D
2016-09-30
2015-09-30
Common Stock
11807
0
D
Disposed 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.
These stock appreciation rights were canceled in the merger in exchange for a cash payment of $5,341,683.33, without interest, representing the difference between the exercise price of the stock appreciation rights and the base price per share of the issuer's common stock subject to such stock appreciation rights.
/s/ Harlan M. Hatfield For: William Gehrmann
2017-05-08