0001104659-12-082194.txt : 20121205 0001104659-12-082194.hdr.sgml : 20121205 20121205185948 ACCESSION NUMBER: 0001104659-12-082194 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121203 FILED AS OF DATE: 20121205 DATE AS OF CHANGE: 20121205 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Riordan Thomas CENTRAL INDEX KEY: 0001334630 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32609 FILM NUMBER: 121244900 MAIL ADDRESS: STREET 1: 100 OVERLOOK CENTER CITY: PRINCETON STATE: NJ ZIP: 08540 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 4 1 a4.xml 4 X0306 4 2012-12-03 0 0001315695 Rockwood Holdings, Inc. ROC 0001334630 Riordan Thomas C/O ROCKWOOD HOLDINGS, INC. 100 OVERLOOK CENTER PRINCETON NJ 08540 0 1 0 0 Sen VP, Law & Administration Common Stock, par value $0.01 2012-12-03 4 M 0 9700 14.61 A 115630 D Common Stock, par value $0.01 2012-12-03 4 S 0 9700 46.306 D 105930 D Common Stock, par value $0.01 2012-12-05 4 M 0 17901 14.61 A 123831 D Common Stock, par value $0.01 2012-12-05 4 S 0 17901 46.2856 D 105930 D Stock Options (right to buy) 14.61 2012-12-03 4 M 0 9700 0 D 2014-10-15 Common Stock, par value $0.01 per share 9700 24525 D Stock Options (right to buy) 14.61 2012-12-05 4 M 0 17901 0 D 2014-10-15 Common Stock, par value $0.01 per share 17901 6624 D This transaction was executed in multiple trades at share prices ranging from $46.25 to $46.49. 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 $46.25 to $46.54. 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 options were granted on October 15, 2004 and vested in five equal annual installments in 2009 pursuant to achievement of certain specified performance-based targets. /s/ Thomas J. Riordan 2012-12-05