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U.S. Securities and Exchange Commission


HEADWATERS INC (0001003344)
SIC: 3272 - Concrete Products, Except Block & Brick
State location: UT | State of Inc.: DE | Fiscal Year End: 0930
formerly: COVOL TECHNOLOGIES INC (until 2000-08-11)
Business Address
10701 SOUTH RIVERFRONT PARKWAY
SUITE 300
SOUTH JORDAN UT 84095
8019849400
Mailing Address
10701 SOUTH RIVERFRONT PARKWAY
SUITE 300
SOUTH JORDAN UT 84095
Ownership Reports from: (Click on owner name to see other issuer holdings for the owner, or CIK for owner filings.)

Owner Filings Transaction Date Type of Owner
HATFIELD HARLAN M 0001249884 2016-12-19 officer: General Counsel
Lents Murphy 0001308581 2016-12-14 officer: Pres. HW Siding & Roofing Div.
BENSON KIRK A 0001077606 2016-12-08 director, officer: Chief Executive Officer
NEWMAN DONALD P 0001282236 2016-12-08 officer: Chiel Financial Officer
Spann Brent 0001625025 2016-12-08 officer: Pres. HW Stone Div.
Robinson William E 0001691114 2016-10-29 officer: Pres. HW Windows Division
Whisnant Bob L. 0001541151 2016-10-28 officer: President HCM, Block Group
Gehrmann William 0001308589 2016-09-06 officer: Pres. Headwaters Resources
CHRISTENSEN R SAM 0001249877 2016-08-08 director
HERICKHOFF JAMES A 0001250265 2016-08-05 director
FISHER BLAKE O JR 0001298557 2016-08-05 director
Summers Sylvia 0001347095 2016-08-05 director
Chieffe Thomas 0001622556 2016-08-05 director
Black Stephanie E. 0001541874 2014-11-03 officer: President HTI Group
Ulmer David S. 0001542852 2014-11-03 officer: President Tapco
Gustafson Grant E. 0001539136 2014-04-15 director
WELLER RAYMOND J 0001249753 2014-02-27 director
GARN EJ JAKE 0001184203 2013-02-21 director
DICKINSON WILLIAM S 0001250281 2013-02-21 director
MALQUIST MALYN K 0001198719 2011-08-22 director
Lawless John 0001303975 2011-01-10 officer: CEO Tapco
STEWART STEVEN G 0001250275 2010-12-08 officer: Chief Financial Officer
FRAILEY KENNETH R 0001288258 2009-07-08 officer: President - Energy Services
Lewis Michael 0001308590 2007-11-01 officer: Pres. Eldorado Stone
SORENSEN SCOTT K 0001191752 2007-08-31 officer: Chief Financial Officer
HICKMAN CRAIG 0001288261 2007-05-01 officer: President HTIG Inc.
DEJU RAUL A 0001288260 2004-08-03 officer: President ISG Resources Inc
CREAMER R STEVE 0001249882 2003-10-31 officer: CEO - ISG Resources Inc.
EVEREST J L II 0001250238 2003-10-31 officer: Treasurer


Items 1 - 80

The information presented below contains only portions of the information presented in the referenced filing or filings.
You should consult the original filing for complete information. Hyperlinks to the forms are provided for your convenience.

Acquistion or Disposition Transaction Date Deemed Execution Date Reporting Owner Form Transaction Type Direct or Indirect Ownership Number of Securities Transacted Number of Securities Owned Line Number Owner CIK Security Name
D 2016-12-19   HATFIELD HARLAN M 4 G-Gift --D 5470.0000 38716.0000 1 0001249884 Common Stock ESPP
D 2016-12-15   Lents Murphy 4 S-Sale --D 11475.0000 30289.0000 5 0001308581 Common Stock
D 2016-12-14   Lents Murphy 4 M-Exempt --D 21461.0000 0.0000 9 0001308581 Stock Appreciation Rights
D 2016-12-14   Lents Murphy 4 M-Exempt --D 21461.0000 0.0000 8 0001308581 Stock Appreciation Rights
D 2016-12-14   Lents Murphy 4 M-Exempt --D 10291.0000 0.0000 7 0001308581 Stock Appreciation Rights
D 2016-12-14   Lents Murphy 4 M-Exempt --D 19332.0000 0.0000 6 0001308581 Stock Appreciation Rights
A 2016-12-14   Lents Murphy 4 M-Exempt --D 13784.0000 41764.0000 4 0001308581 Common Stock
A 2016-12-14   Lents Murphy 4 M-Exempt --D 9152.0000 27980.0000 3 0001308581 Common Stock
A 2016-12-14   Lents Murphy 4 M-Exempt --D 12535.0000 18828.0000 2 0001308581 Common Stock
A 2016-12-14   Lents Murphy 4 M-Exempt --D 6293.0000 6293.0000 1 0001308581 Common Stock
D 2016-12-09   Spann Brent 4 S-Sale --D 10630.0000 244.0000 7 0001625025 Common Stock
D 2016-12-09   HATFIELD HARLAN M 4 S-Sale --D 9889.0000 18871.0000 1 0001249884 Common Stock
D 2016-12-08   Spann Brent 4 M-Exempt --D 1315.0000 2630.0000 13 0001625025 Stock Appreciation Rights
D 2016-12-08   Spann Brent 4 M-Exempt --D 3596.0000 1798.0000 12 0001625025 Stock Appreciation Rights
D 2016-12-08   Spann Brent 4 M-Exempt --D 2783.0000 0.0000 11 0001625025 Stock Appreciation Rights
D 2016-12-08   Spann Brent 4 M-Exempt --D 2499.0000 0.0000 10 0001625025 Stock Appreciation Rights
D 2016-12-08   Spann Brent 4 M-Exempt --D 2000.0000 0.0000 9 0001625025 Stock Appreciation Rights
D 2016-12-08   Spann Brent 4 M-Exempt --D 3869.0000 0.0000 8 0001625025 Stock Appreciation Rights
A 2016-12-08   Spann Brent 4 M-Exempt --D 317.0000 10874.0000 6 0001625025 Common Stock
A 2016-12-08   Spann Brent 4 M-Exempt --D 1602.0000 10557.0000 5 0001625025 Common Stock
A 2016-12-08   Spann Brent 4 M-Exempt --D 1695.0000 8955.0000 4 0001625025 Common Stock
A 2016-12-08   Spann Brent 4 M-Exempt --D 1777.0000 7260.0000 3 0001625025 Common Stock
A 2016-12-08   Spann Brent 4 M-Exempt --D 3564.0000 5483.0000 2 0001625025 Common Stock
A 2016-12-08   Spann Brent 4 M-Exempt --D 1675.0000 1919.0000 1 0001625025 Common Stock
D 2016-12-08   BENSON KIRK A 4 S-Sale --D 516345.0000 874993.0000 1 0001077606 Common Stock
D 2016-12-08   NEWMAN DONALD P 4 S-Sale --D 85413.0000 41000.0000 1 0001282236 Common Stock
D 2016-12-07   BENSON KIRK A 4 M-Exempt --D 195144.0000 0.0000 6 0001077606 Stock Appreciation Rights
D 2016-12-07   BENSON KIRK A 4 M-Exempt --D 470000.0000 0.0000 5 0001077606 Stock Appreciation Rights
A 2016-12-07   BENSON KIRK A 4 M-Exempt --D 83126.0000 1391338.0000 3 0001077606 Common Stock
A 2016-12-07   BENSON KIRK A 4 M-Exempt --D 433219.0000 1308212.0000 2 0001077606 Common Stock
D 2016-12-07   BENSON KIRK A 4 G-Gift --D 25000.0000 874993.0000 1 0001077606 Common Stock
D 2016-12-07   HATFIELD HARLAN M 4 M-Exempt --D 23216.0000 0.0000 2 0001249884 Stock Appreciation Rights
A 2016-12-07   HATFIELD HARLAN M 4 M-Exempt --D 9889.0000 28760.0000 1 0001249884 Common Stock
D 2016-12-06   NEWMAN DONALD P 4 M-Exempt --D 37000.0000 0.0000 4 0001282236 Stock Appreciation Rights
D 2016-12-06   NEWMAN DONALD P 4 M-Exempt --D 60000.0000 70788.0000 3 0001282236 Stock Appreciation Rights
A 2016-12-06   NEWMAN DONALD P 4 M-Exempt --D 30117.0000 126413.0000 2 0001282236 Common Stock
A 2016-12-06   NEWMAN DONALD P 4 M-Exempt --D 55296.0000 96296.0000 1 0001282236 Common Stock
D 2016-11-28   HATFIELD HARLAN M 4 S-Sale --D 1860.0000 53868.0000 1 0001249884 Restricted Stock
D 2016-09-06   Gehrmann William 4 M-Exempt --D 71801.0000 0.0000 3 0001308589 Cash Settled Stock Appreciation Rights
D 2016-09-06   Gehrmann William 4 D-Return --D 71801.0000 10200.0000 2 0001308589 Common Stock
A 2016-09-06   Gehrmann William 4 M-Exempt --D 71801.0000 82001.0000 1 0001308589 Common Stock
D 2016-08-22   Whisnant Bob L. 4 S-Sale --D 32890.0000 6046.0000 1 0001541151 Common Stock
D 2016-08-15   Whisnant Bob L. 4 M-Exempt --D 8656.0000 0.0000 8 0001541151 Stock Appreciation Rights
D 2016-08-15   Whisnant Bob L. 4 M-Exempt --D 8656.0000 0.0000 7 0001541151 Stock Appreciation Rights
D 2016-08-15   Whisnant Bob L. 4 M-Exempt --D 12500.0000 0.0000 6 0001541151 Stock Appreciation Rights
D 2016-08-15   Whisnant Bob L. 4 M-Exempt --D 19945.0000 0.0000 5 0001541151 Stock Appreciation Rights
A 2016-08-15   Whisnant Bob L. 4 M-Exempt --D 16132.0000 38936.0000 4 0001541151 Common Stock
A 2016-08-15   Whisnant Bob L. 4 M-Exempt --D 9614.0000 22804.0000 3 0001541151 Common Stock
A 2016-08-15   Whisnant Bob L. 4 M-Exempt --D 4382.0000 13190.0000 2 0001541151 Common Stock
A 2016-08-15   Whisnant Bob L. 4 M-Exempt --D 2762.0000 8808.0000 1 0001541151 Common Stock
A 2016-08-08   CHRISTENSEN R SAM 4 P-Purchase --I 5706.0000 27671.0000 1 0001249877 Common Stock
A 2016-08-05   Summers Sylvia 4 J-Other --D 1032.0000 18997.0000 1 0001347095 DCP Shares
A 2016-08-05   HERICKHOFF JAMES A 4 J-Other --D 1032.0000 28757.0000 1 0001250265 DCP Shares
A 2016-08-05   FISHER BLAKE O JR 4 J-Other --D 1032.0000 32525.0000 1 0001298557 DCP Shares
A 2016-08-05   Chieffe Thomas 4 J-Other --D 2193.0000 16100.0000 1 0001622556 DCP Shares
A 2016-05-06   Summers Sylvia 4 J-Other --D 1055.0000 17965.0000 1 0001347095 DCP Shares
A 2016-05-06   HERICKHOFF JAMES A 4 J-Other --D 1055.0000 27725.0000 1 0001250265 DCP Shares
A 2016-05-06   FISHER BLAKE O JR 4 J-Other --D 1055.0000 31493.0000 1 0001298557 DCP Shares
A 2016-05-06   Chieffe Thomas 4 J-Other --D 2241.0000 13907.0000 1 0001622556 DCP Shares
A 2016-02-05   Summers Sylvia 4 J-Other --D 1195.0000 16910.0000 1 0001347095 DCP Shares
A 2016-02-05   HERICKHOFF JAMES A 4 J-Other --D 1195.0000 26670.0000 1 0001250265 DCP Shares
A 2016-02-05   FISHER BLAKE O JR 4 J-Other --D 1195.0000 30438.0000 1 0001298557 DCP Shares
A 2016-02-05   Chieffe Thomas 4 J-Other --D 2539.0000 11666.0000 1 0001622556 DCP Shares
D 2016-02-01   BENSON KIRK A 4 J-Other --D $0.0000 1 0001077606 Convertible Debt
A 2015-11-06   Summers Sylvia 4 J-Other --D 1040.0000 15715.0000 1 0001347095 DCP Shares
A 2015-11-06   HERICKHOFF JAMES A 4 J-Other --D 1040.0000 25475.0000 1 0001250265 DCP Shares
A 2015-11-06   FISHER BLAKE O JR 4 J-Other --D 1040.0000 29243.0000 1 0001298557 DCP Shares
A 2015-11-06   CHRISTENSEN R SAM 4 J-Other --D 1040.0000 4294.0000 1 0001249877 DCP Shares
A 2015-11-06   Chieffe Thomas 4 J-Other --D 2210.0000 9127.0000 1 0001622556 DCP Shares
D 2015-11-05   Gehrmann William 4 S-Sale --D 2112.0000 66931.0000 2 0001308589 Restricted Stock
D 2015-11-05   HATFIELD HARLAN M 4 S-Sale --D 2788.0000 55728.0000 2 0001249884 Restricted Stock
D 2015-11-05   NEWMAN DONALD P 4 S-Sale --D 4010.0000 61788.0000 2 0001282236 Restricted Stock
D 2015-11-05   Whisnant Bob L. 4 S-Sale --D 1527.0000 16025.0000 2 0001541151 Restricted Stock
D 2015-11-05   Spann Brent 4 S-Sale --D 680.0000 8963.0000 2 0001625025 Restricted Stock
D 2015-11-05   BENSON KIRK A 4 S-Sale --D 18192.0000 400665.0000 2 0001077606 Restricted Stock
A 2015-11-04   Gehrmann William 4 A-Award --D 11807.0000 11807.0000 3 0001308589 Stock Appreciation Rights
A 2015-11-04   Gehrmann William 4 A-Award --D 6210.0000 69043.0000 1 0001308589 Restricted Stock
A 2015-11-04   HATFIELD HARLAN M 4 A-Award --D 10422.0000 10422.0000 3 0001249884 Stock Appreciation Rights
A 2015-11-04   HATFIELD HARLAN M 4 A-Award --D 5482.0000 58516.0000 1 0001249884 Restricted Stock
A 2015-11-04   NEWMAN DONALD P 4 A-Award --D 13839.0000 13839.0000 3 0001282236 Stock Appreciation Rights

http://www.sec.gov/cgi-bin/own-disp


Modified: 04/22/2016