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