0001003344-12-000040.txt : 20121109 0001003344-12-000040.hdr.sgml : 20121109 20121109163214 ACCESSION NUMBER: 0001003344-12-000040 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121108 FILED AS OF DATE: 20121109 DATE AS OF CHANGE: 20121109 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: 10653 SOUTH RIVERFRONT PARKWAY STREET 2: SUITE 300 CITY: SOUTH JORDAN STATE: UT ZIP: 84095 BUSINESS PHONE: 8019849400 MAIL ADDRESS: STREET 1: 10653 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: HATFIELD HARLAN M CENTRAL INDEX KEY: 0001249884 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32459 FILM NUMBER: 121194084 MAIL ADDRESS: STREET 1: 10653 SOUTH RIVER FRONT PARKWAY STREET 2: SUITE 300 CITY: SOUTH JORDAN STATE: UT ZIP: 84095 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2012-11-08 0 0001003344 HEADWATERS INC HW 0001249884 HATFIELD HARLAN M 10653 S. RIVERFRONT PARKWAY, SUITE 300 SOUTH JORDAN UT 84095 0 1 0 0 General Counsel Common Stock 2012-11-08 4 S 0 1580 6.8301 D 19420 D Common Stock 2012-11-08 4 S 0 549 6.8601 D 18871 D Restricted Stock 2012-11-08 4 A 0 7021 0 A 37469 D Stock Appreciation Rights 6.79 2012-11-08 4 A 0 14042 0 A 2013-09-30 2022-09-30 Common Stock 14042 14042 D Sale proceeds are for the payment of taxes due upon vesting of incentive stock awards. Vesting pro rata yearly for a period of 3 years on September 30th, subject to stock price performance condition. Harlan M. Hatfield 2012-11-09