23/10/2014 13:12:12 Free Membership Login

- Initial Statement of Beneficial Ownership (3)

Date : 03/13/2012 @ 2:10PM
Source : Edgar (US Regulatory)
Stock : Headwaters (HW)
Quote : 12.18  0.5 (4.28%) @ 12:56PM
Headwaters share price Chart

- Initial Statement of Beneficial Ownership (3)

FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Black Stephanie E.

2. Date of Event Requiring Statement (MM/DD/YYYY)
3/13/2012 

3. Issuer Name and Ticker or Trading Symbol

HEADWATERS INC [HW]

(Last)        (First)        (Middle)

10653 S. RIVERFRONT PARKWAY, SUITE 300

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 /

(Street)

SOUTH JORDAN, UT 84095       

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed (MM/DD/YYYY)

 

6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person


Table I - Non-Derivative Securities Beneficially Owned
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)
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)
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
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Black Stephanie E.
10653 S. RIVERFRONT PARKWAY, SUITE 300
SOUTH JORDAN, UT 84095


President HTI Group

Signatures
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.

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