0001104659-13-090004.txt : 20131212 0001104659-13-090004.hdr.sgml : 20131212 20131212202825 ACCESSION NUMBER: 0001104659-13-090004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131210 FILED AS OF DATE: 20131212 DATE AS OF CHANGE: 20131212 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Rockwood Holdings, Inc. CENTRAL INDEX KEY: 0001315695 STANDARD INDUSTRIAL CLASSIFICATION: CHEMICALS & ALLIED PRODUCTS [2800] IRS NUMBER: 522277366 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 100 OVERLOOK CENTER CITY: PRINCETON STATE: NJ ZIP: 08540 BUSINESS PHONE: 609-514-0300 MAIL ADDRESS: STREET 1: 100 OVERLOOK CENTER CITY: PRINCETON STATE: NJ ZIP: 08540 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ghasemi Seifi CENTRAL INDEX KEY: 0001334296 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32609 FILM NUMBER: 131274886 MAIL ADDRESS: STREET 1: 100 OVERLOOK CENTER CITY: PRINCETON STATE: NJ ZIP: 08540 4 1 a4.xml 4 X0306 4 2013-12-10 0 0001315695 Rockwood Holdings, Inc. ROC 0001334296 Ghasemi Seifi C/O ROCKWOOD HOLDINGS, INC. 100 OVERLOOK CENTER PRINCETON NJ 08540 1 1 0 0 Chairman & Chief Exec Officer Common Stock, par value $0.01 per share 2013-12-10 4 M 0 206000 14.61 A 911790 D Common Stock, par value $0.01 per share 2013-12-10 4 S 0 206000 72.3447 D 705790 D Common Stock, par value $0.01 per share 2013-12-11 4 M 0 30200 14.61 A 735990 D Common Stock, par value $0.01 per share 2013-12-11 4 M 0 100 14.61 A 736090 D Common Stock, par value $0.01 per share 2013-12-11 4 S 0 30200 71.2479 D 705890 D Common Stock, par value $0.01 per share 2013-12-11 4 S 0 100 71.79 D 705790 D Common Stock, par value $0.01 per share 2013-12-12 4 M 0 71729 14.61 A 777519 D Common Stock, par value $0.01 per share 2013-12-12 4 S 0 71729 70.00 D 705790 D Common Stock, par value $0.01 per share 2013-12-12 4 M 0 198508 14.61 A 904298 D Common Stock, par value $0.01 per share 2013-12-12 4 S 0 198508 70.0236 D 705790 D Common Stock, par value $0.01 per share 2013-12-12 4 M 0 1711 70.09 A 707501 D Common Stock, par value $0.01 per share 2013-12-12 4 S 0 1711 14.61 D 705790 D Common Stock, par value $0.01 per share 2013-12-12 4 M 0 117136 31.73 A 822926 D Common Stock, par value $0.01 per share 2013-12-12 4 S 0 117136 70.1711 D 705790 D Stock Options (right to buy) 14.61 2013-12-10 4 M 0 206000 0 D 2014-09-24 Common Stock, par value $0.01 per share 206000 102029 D Stock Options (right to buy) 14.61 2013-12-11 4 M 0 30300 0 D 2014-09-24 Common Stock, par value $0.01 per share 30300 71729 D Stock Options (right to buy) 14.61 2013-12-12 4 M 0 71729 0 D 2014-09-24 Common Stock, par value $0.01 per share 71729 0 D Stock Options (right to buy) 14.61 2013-12-12 4 M 0 198508 0 D 2014-09-24 Common Stock, par value $0.01 per share 198508 0 D Stock Options (right to buy) 14.61 2013-12-12 4 M 0 1711 0 D 2014-09-24 Common Stock, par value $0.01 per share 1711 0 D Stock Options (right to buy) 31.73 2013-12-12 4 M 0 117136 0 D 2014-05-16 Common Stock, par value $0.01 per share 117136 0 D This transaction was executed in multiple trades at share prices ranging from $72.13 to $72.93. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at share prices ranging from $70.77 to $71.75. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at share prices ranging from $70.00 to $70.09. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at share prices ranging from $70.09 to $70.522. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. These performance-based stock options were granted to the holder on September 24, 2004 and vested and became exercisable by the holder in installments of 20% on each of the first five grant date anniversaries pursuant to achievement of certain specified performance-based targets. These performance-based stock options expire on September 24, 2014. These time-based stock options were granted to the holder on September 24, 2004 and vested and became exercisable by the holder in installments of 20% on each of the first five grant date anniversaries. These time-based stock options expire on September 24, 2014. These time-based stock options were granted to the holder on May 16, 2007 and vested and became exercisable by the holder in three equal annual installments beginning on the December 31st of the year following the grant date. These time-based stock options expire on May 16, 2014. /s/ Seifi Ghasemi 2013-12-12