Основная статистика
| CIK | 1003344 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Headwaters Inc.
SEC Filings (Chronological Order)
На этой странице представлен полный хронологический список документов SEC, за исключением документов о собственности, которые мы предоставляем в других местах.
| May 18, 2017 |
15-12B 1 a17-1344311512b.htm 15-12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 1-32459 Headwaters Incorporated (Exact n |
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| May 11, 2017 |
POS AM 1 a17-129113posam.htm POS AM As filed with the Securities and Exchange Commission on May 11, 2017 Registration Nos. 333-117492, 333-156794, 333-159541 UNITED STATES EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 5 TO FORM S-3 REGISTRATION STATEMENT NO. 333-117492 POST-EFFECTIVE AMENDMENT NO. 4 TO FORM S-3 REGISTRATION STATEMENT NO. 333-156794 POST-EFFECTIVE AMENDMEN |
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| May 11, 2017 |
POS AM 1 a17-129112posam.htm POS AM As filed with the Securities and Exchange Commission on May 11, 2017 Registration Nos. 333-117492, 333-156794, 333-159541 UNITED STATES EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 5 TO FORM S-3 REGISTRATION STATEMENT NO. 333-117492 POST-EFFECTIVE AMENDMENT NO. 4 TO FORM S-3 REGISTRATION STATEMENT NO. 333-156794 POST-EFFECTIVE AMENDMEN |
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| May 11, 2017 |
As filed with the Securities and Exchange Commission on May 11, 2017 Registration Nos. |
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| May 8, 2017 |
Registration Nos. 333-39678, 333-103527, 333-113704, 333-124803, 333-147599 333-163274, 333-166504, 333-166505, 333-181060, 333-181061 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S8 REGISTRATION STATEMENT NO. 333-39678 POST-EFFECTIVE AMENDMENT NO. 2 TO FORM S8 REGISTRATION STATEMENT NO. 333-103527 POST-EFFECTIVE AMENDMENT NO. 2 T |
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| May 8, 2017 |
S-8 POS 1 a17-126229s8pos.htm S-8 POS Registration Nos. 333-39678, 333-103527, 333-113704, 333-124803, 333-147599 333-163274, 333-166504, 333-166505, 333-181060, 333-181061 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S—8 REGISTRATION STATEMENT NO. 333-39678 POST-EFFECTIVE AMENDMENT NO. 2 TO FORM S—8 REGISTRATION STATEMENT NO. 333-1 |
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| May 8, 2017 |
S-8 POS 1 a17-126228s8pos.htm S-8 POS Registration Nos. 333-39678, 333-103527, 333-113704, 333-124803, 333-147599 333-163274, 333-166504, 333-166505, 333-181060, 333-181061 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S—8 REGISTRATION STATEMENT NO. 333-39678 POST-EFFECTIVE AMENDMENT NO. 2 TO FORM S—8 REGISTRATION STATEMENT NO. 333-1 |
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| May 8, 2017 |
S-8 POS 1 a17-126227s8pos.htm S-8 POS Registration Nos. 333-39678, 333-103527, 333-113704, 333-124803, 333-147599 333-163274, 333-166504, 333-166505, 333-181060, 333-181061 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S—8 REGISTRATION STATEMENT NO. 333-39678 POST-EFFECTIVE AMENDMENT NO. 2 TO FORM S—8 REGISTRATION STATEMENT NO. 333-1 |
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| May 8, 2017 |
S-8 POS 1 a17-126226s8pos.htm S-8 POS Registration Nos. 333-39678, 333-103527, 333-113704, 333-124803, 333-147599 333-163274, 333-166504, 333-166505, 333-181060, 333-181061 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S—8 REGISTRATION STATEMENT NO. 333-39678 POST-EFFECTIVE AMENDMENT NO. 2 TO FORM S—8 REGISTRATION STATEMENT NO. 333-1 |
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| May 8, 2017 |
Registration Nos. 333-39678, 333-103527, 333-113704, 333-124803, 333-147599 333-163274, 333-166504, 333-166505, 333-181060, 333-181061 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S?8 REGISTRATION STATEMENT NO. 333-39678 POST-EFFECTIVE AMENDMENT NO. 2 TO FORM S?8 REGISTRATION STATEMENT NO. 333-103527 POST-EFFECTIVE AMENDMENT NO. 2 T |
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| May 8, 2017 |
S-8 POS 1 a17-126224s8pos.htm S-8 POS Registration Nos. 333-39678, 333-103527, 333-113704, 333-124803, 333-147599 333-163274, 333-166504, 333-166505, 333-181060, 333-181061 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S—8 REGISTRATION STATEMENT NO. 333-39678 POST-EFFECTIVE AMENDMENT NO. 2 TO FORM S—8 REGISTRATION STATEMENT NO. 333-1 |
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| May 8, 2017 |
S-8 POS 1 a17-126223s8pos.htm S-8 POS Registration Nos. 333-39678, 333-103527, 333-113704, 333-124803, 333-147599 333-163274, 333-166504, 333-166505, 333-181060, 333-181061 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S—8 REGISTRATION STATEMENT NO. 333-39678 POST-EFFECTIVE AMENDMENT NO. 2 TO FORM S—8 REGISTRATION STATEMENT NO. 333-1 |
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| May 8, 2017 |
S-8 POS 1 a17-126222s8pos.htm S-8 POS Registration Nos. 333-39678, 333-103527, 333-113704, 333-124803, 333-147599 333-163274, 333-166504, 333-166505, 333-181060, 333-181061 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S—8 REGISTRATION STATEMENT NO. 333-39678 POST-EFFECTIVE AMENDMENT NO. 2 TO FORM S—8 REGISTRATION STATEMENT NO. 333-1 |
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| May 8, 2017 |
S-8 POS 1 a17-126221s8pos.htm S-8 POS Registration Nos. 333-39678, 333-103527, 333-113704, 333-124803, 333-147599 333-163274, 333-166504, 333-166505, 333-181060, 333-181061 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S—8 REGISTRATION STATEMENT NO. 333-39678 POST-EFFECTIVE AMENDMENT NO. 2 TO FORM S—8 REGISTRATION STATEMENT NO. 333-1 |
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| May 8, 2017 |
AMENDED AND RESTATED CERTIFICATE OF INCORPORATION HEADWATERS INCORPORATED EX-3.1 2 a17-126291ex3d1.htm EX-3.1 Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF HEADWATERS INCORPORATED FIRST: The name of the Corporation is Headwaters Incorporated (the “Corporation”). SECOND: The address of the registered office of the Corporation in the State of Delaware is 1209 Orange Street, City of Wilmington, County of New Castle, 19801. The name of its registered agen |
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| May 8, 2017 |
Exhibit 99.1 Boral completes acquisition of Headwaters Incorporated Boral Limited (ASX: BLD) announced today that it has completed its acquisition of Headwaters Incorporated, a leading building products manufacturer and fly ash marketer in North America. The closing of the transaction follows approval by Headwaters? shareholders and receipt of all required regulatory approvals. With the closing of |
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| May 8, 2017 |
8-K 1 a17-1262918k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2017 (May 6, 2017) Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisd |
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| May 8, 2017 |
AMENDED AND RESTATED BY-LAWS HEADWATERS INCORPORATED A Delaware Corporation Effective May 8, 2017 EX-3.2 3 a17-126291ex3d2.htm EX-3.2 Exhibit 3.2 AMENDED AND RESTATED BY-LAWS OF HEADWATERS INCORPORATED A Delaware Corporation Effective May 8, 2017 TABLE OF CONTENTS Page ARTICLE I OFFICES Section 1. Registered Office 1 Section 2. Other Offices 1 ARTICLE II MEETINGS OF STOCKHOLDERS Section 1. Place of Meetings 1 Section 2. Annual Meetings 1 Section 3. Special Meetings 2 Section 4. Notice 2 Sectio |
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| May 4, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 4, 2017 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commission (I.R.S. Employer of in |
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| April 28, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 28, 2017 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commission (I.R.S. Employer of |
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| April 28, 2017 |
Exhibit 99.1 N E W S B U L LETIN FROM: RE: Headwaters Incorporated 10701 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: Sharon Madden Vice President of Investor Relations (801) 984-9400 ANALYST CONTACT: Tricia Ross Financial Profiles (310) 622-8226 FOR IMMEDIATE RELEASE HEADWATERS INCORPORATED ANNOUNCES RESULTS FOR SE |
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| April 28, 2017 |
Exhibit 12 Ratio of Earnings to Combined Fixed Charges and Preferred Stock Dividends Six Months Ended Year Ended September 30, March 31, (dollars in thousands) 2012* 2013 2014 2015 2016 2017 Fixed Charges Computation Interest expensed and capitalized (1) $ 38,809 $ 37,100 $ 44,768 $ 58,681 $ 39,312 $ 15,737 Amortized premiums, discounts, and capitalized expenses related to indebtedness 14,184 5,84 |
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| April 28, 2017 |
For the 3-month period ended March 31, 2017 Exhibit 95 Mine Safety Disclosure Under the Dodd-Frank Act, each operator of a coal or other mine (and operators of facilities related to mining, as defined in section 3 of the Mine Act) is required to include certain mine safety results in its periodic reports filed with the SEC. |
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| April 28, 2017 |
HW / Headwaters Inc. 10-Q (Quarterly Report) 10-Q 1 hw-20170331x10q.htm 10-Q Table of Contents And the UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from |
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| February 13, 2017 |
HW / Headwaters Inc. / VANGUARD GROUP INC Passive Investment SC 13G/A 1 headwatersinc.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1 )* Name of issuer: Headwaters Inc Title of Class of Securities: Common Stock CUSIP Number: 42210P102 Date of Event Which Requires Filing of this Statement: December 31, 2016 Check the appropriate box to designate the rule pursuant to which |
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| February 10, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 ( Amendment No. 1)* Headwaters Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 42210P102 (CUSIP Number) December 31, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedu |
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| February 9, 2017 |
8-K 1 a17-417518k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 9, 2017 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Co |
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| February 3, 2017 |
Submission of Matters to a Vote of Security Holders 8-K 1 a17-381118k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 3, 2017 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Co |
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| February 2, 2017 |
Headwaters 10-Q (Quarterly Report) Table of Contents And the UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 2, 2017 |
For the 3-month period ended December 31, 2016 Exhibit 95 Mine Safety Disclosure Under the Dodd-Frank Act, each operator of a coal or other mine (and operators of facilities related to mining, as defined in section 3 of the Mine Act) is required to include certain mine safety results in its periodic reports filed with the SEC. |
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| February 2, 2017 |
EX-12 2 hw-20161231ex12df562ce.htm EX-12 Exhibit 12 Ratio of Earnings to Combined Fixed Charges and Preferred Stock Dividends Three Months Ended Year Ended September 30, December 31, (dollars in thousands) 2012* 2013 2014 2015 2016 2016 Fixed Charges Computation Interest expensed and capitalized (1) $ 38,809 $ 37,100 $ 44,768 $ 58,681 $ 39,312 $ 8,080 Amortized premiums, discounts, and capitalized |
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| February 2, 2017 |
HEADWATERS INCORPORATED 2010 INCENTIVE COMPENSATION PLAN PERFORMANCE UNIT AWARD AGREEMENT Exhibit 99.38 HEADWATERS INCORPORATED 2010 INCENTIVE COMPENSATION PLAN PERFORMANCE UNIT AWARD AGREEMENT [Employee's Name] Headwaters Incorporated (the "Company") has granted you a Performance Unit Award ("Award") under the 2010 Incentive Compensation Plan (the “Plan”), subject to the following terms and conditions of this agreement (the “Agreement”). Each of the capitalized terms herein shall have |
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| January 31, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 31, 2017 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commission (I.R.S. Employer |
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| January 31, 2017 |
Exhibit 99.1 N E W S B U L LETIN RE: Headwaters Incorporated FROM: 10701 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: ANALYST CONTACT: Sharon Madden Tricia Ross Vice President of Investor Relations Financial Profiles (801) 984-9400 (310) 622-8226 FOR IMMEDIATE RELEASE HEADWATERS INCORPORATED ANNOUNCES RESULTS FOR FI |
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| January 30, 2017 |
Headwaters 10-K/A (Annual Report) 10-K/A 1 a17-3378110ka.htm 10-K/A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2016, or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition |
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| January 27, 2017 |
8-K 1 a17-335218k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 27, 2017 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Co |
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| January 10, 2017 |
HW / Headwaters Inc. / Wellington Management Group LLP - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3 )* Headwaters Incorporated (Name of Issuer) Common Stock (Title of Class of Securities) 42210P102 (CUSIP Number) December 30, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which thi |
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| January 7, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 6, 2017 (January 5, 2017) Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commission |
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| December 29, 2016 |
DEFM14A 1 a2230570zdefm14a.htm DEFM14A Use these links to rapidly review the document TABLE OF CONTENTS TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary |
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| December 13, 2016 |
PREM14A 1 a2230480zprem14a.htm PREM14A Use these links to rapidly review the document TABLE OF CONTENTS TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: ý Preliminary |
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| November 28, 2016 |
THIRD AMENDMENT TO EXECUTIVE CHANGE IN CONTROL AGREEMENT Exhibit 99.17.3 THIRD AMENDMENT TO EXECUTIVE CHANGE IN CONTROL AGREEMENT This Third Amendment to Executive Change in Control Agreement (the ?Amendment?) is entered into as of the 23rd day of November 2016 (?Effective Date?), by and between William H. Gehrmann, III (?Executive?) and Headwaters Incorporated, a Delaware corporation (the ?Company?). RECITALS The Company and Executive entered into the |
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| November 28, 2016 |
8-K 1 a16-2194838k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 28, 2016 (November 23, 2016) Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or |
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| November 22, 2016 |
Exhibit 99.3 Headwaters Employee Letter Dear Headwaters Employees, I am excited to announce a new chapter in the history of Headwaters. On Sunday, November 20th, we announced that Headwaters has entered into an agreement to combine with Boral Limited. A copy of the press release we issued is attached to this email. For those of you not familiar with Boral, the company is headquartered in Sydney, A |
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| November 22, 2016 |
Exhibit 99.2 Headwaters Distributor Letter [Dear Partner // INSERT CUSTOMARY GREETING], As you are a valued Headwaters partner, I wanted to share some important news about our company. On Sunday, we announced that Headwaters has entered into an agreement to be acquired by Boral Limited. We believe this transaction represents a compelling path forward for Headwaters that will benefit our partners a |
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| November 22, 2016 |
Exhibit 99.1 Headwaters Customer Letter Dear Customer , As you are a valued customer of Headwaters, I wanted to share some important news about our company. On Sunday, we announced that Headwaters has entered into an agreement to be acquired by Boral Limited. We believe this transaction represents a compelling path forward for our stakeholders and will provide significant benefits to our customers |
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| November 22, 2016 |
Financial Statements and Exhibits, Other Events 8-K 1 a16-2194828k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 22, 2016 (November 21, 2016) Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or |
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| November 22, 2016 |
EX-99.5 6 a16-219482ex99d5.htm EX-99.5 Exhibit 99.5 Headwaters Employee FAQ 1. What was announced? · We announced that Headwaters has entered into an agreement to combine with Boral Limited. · We are excited about the opportunities we will have as part of Boral as we bring together our two world-class organizations. · The transaction is expected to be completed in mid-calendar year 2017, subject t |
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| November 22, 2016 |
EX-99.6 7 a16-219482ex99d6.htm EX-99.6 Exhibit 99.6 Headwaters Customer FAQ 1. What was announced? · We announced that Headwaters has entered into an agreement to combine with Boral Limited. · We are excited about the opportunities we will have as part of Boral as we bring together our two world-class organizations. 2. Who is Boral? · Boral, headquartered in Sydney, Australia, is Australia’s large |
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| November 22, 2016 |
Exhibit 99.4 Headwaters Supplier Letter Dear Supplier, As you are an important partner to Headwaters, I wanted to reach out to share some exciting news about our company. On Sunday, we announced that Headwaters has entered into an agreement to be acquired by Boral Limited. We believe this transaction represents a compelling path forward for Headwaters that will provide significant benefits to all |
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| November 22, 2016 |
Exhibit 99.3 Headwaters Employee Letter Dear Headwaters Employees, I am excited to announce a new chapter in the history of Headwaters. On Sunday, November 20th, we announced that Headwaters has entered into an agreement to combine with Boral Limited. A copy of the press release we issued is attached to this email. For those of you not familiar with Boral, the company is headquartered in Sydney, A |
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| November 22, 2016 |
Exhibit 99.5 Headwaters Employee FAQ 1. What was announced? ? We announced that Headwaters has entered into an agreement to combine with Boral Limited. ? We are excited about the opportunities we will have as part of Boral as we bring together our two world-class organizations. ? The transaction is expected to be completed in mid-calendar year 2017, subject to regulatory approvals and other custom |
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| November 22, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 22, 2016 (November 21, 2016) Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commiss |
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| November 22, 2016 |
Exhibit 99.2 Headwaters Distributor Letter [Dear Partner // INSERT CUSTOMARY GREETING], As you are a valued Headwaters partner, I wanted to share some important news about our company. On Sunday, we announced that Headwaters has entered into an agreement to be acquired by Boral Limited. We believe this transaction represents a compelling path forward for Headwaters that will benefit our partners a |
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| November 22, 2016 |
Exhibit 99.6 Headwaters Customer FAQ 1. What was announced? ? We announced that Headwaters has entered into an agreement to combine with Boral Limited. ? We are excited about the opportunities we will have as part of Boral as we bring together our two world-class organizations. 2. Who is Boral? ? Boral, headquartered in Sydney, Australia, is Australia?s largest building and construction materials |
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| November 22, 2016 |
Exhibit 99.4 Headwaters Supplier Letter Dear Supplier, As you are an important partner to Headwaters, I wanted to reach out to share some exciting news about our company. On Sunday, we announced that Headwaters has entered into an agreement to be acquired by Boral Limited. We believe this transaction represents a compelling path forward for Headwaters that will provide significant benefits to all |
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| November 22, 2016 |
Exhibit 99.1 Headwaters Customer Letter Dear Customer , As you are a valued customer of Headwaters, I wanted to share some important news about our company. On Sunday, we announced that Headwaters has entered into an agreement to be acquired by Boral Limited. We believe this transaction represents a compelling path forward for our stakeholders and will provide significant benefits to our customers |
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| November 21, 2016 |
HEADWATERS INCORPORATED SECOND AMENDED AND RESTATED ARTICLE ONE EX-3.2.7 3 a16-219481ex3d2d7.htm EX-3.2.7 Exhibit 3.2.7 HEADWATERS INCORPORATED SECOND AMENDED AND RESTATED BYLAWS ARTICLE ONE OFFICES Section 1. Registered Office. The registered office of HEADWATERS INCORPORATED, a Delaware corporation (the “Corporation”), shall be located in the City of Wilmington, State of Delaware. Section 2. Other Offices. The Corporation may also have offices at such other |
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| November 21, 2016 |
EX-2.2 2 a16-219481ex2d2.htm EX-2.2 Exhibit 2.2 CONFIDENTIAL Execution Version AGREEMENT AND PLAN OF MERGER Dated as of November 20, 2016, among HEADWATERS INCORPORATED BORAL LIMITED and ENTERPRISE MERGER SUB, INC. TABLE OF CONTENTS Page ARTICLE I The Merger SECTION 1.01 The Merger 1 SECTION 1.02 Closing 2 SECTION 1.03 Effective Time 2 SECTION 1.04 Effects 2 SECTION 1.05 Certificate of Incorporati |
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| November 21, 2016 |
EX-99.1 4 a16-219481ex99d1.htm EX-99.1 Exhibit 99.1 News Bulletin RE: 10701 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: FOR FURTHER INFORMATION AT THE COMPANY: Sharon Madden Vice President of Investor Relations (801) 984-9400 FOR IMMEDIATE RELEASE HEADWATERS INCORPORATED ENTERS INTO DEFINITIVE MERGER AGREEMENT TO BE ACQUIRED BY BORAL LIMITED · Transaction v |
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| November 21, 2016 |
8-K 1 a16-2194818k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 21, 2016 (November 18, 2016) Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or |
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| November 21, 2016 |
HEADWATERS INCORPORATED SECOND AMENDED AND RESTATED ARTICLE ONE EX-3.2.7 3 a16-219481ex3d2d7.htm EX-3.2.7 Exhibit 3.2.7 HEADWATERS INCORPORATED SECOND AMENDED AND RESTATED BYLAWS ARTICLE ONE OFFICES Section 1. Registered Office. The registered office of HEADWATERS INCORPORATED, a Delaware corporation (the “Corporation”), shall be located in the City of Wilmington, State of Delaware. Section 2. Other Offices. The Corporation may also have offices at such other |
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| November 21, 2016 |
EX-2.2 2 a16-219481ex2d2.htm EX-2.2 Exhibit 2.2 CONFIDENTIAL Execution Version AGREEMENT AND PLAN OF MERGER Dated as of November 20, 2016, among HEADWATERS INCORPORATED BORAL LIMITED and ENTERPRISE MERGER SUB, INC. TABLE OF CONTENTS Page ARTICLE I The Merger SECTION 1.01 The Merger 1 SECTION 1.02 Closing 2 SECTION 1.03 Effective Time 2 SECTION 1.04 Effects 2 SECTION 1.05 Certificate of Incorporati |
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| November 21, 2016 |
DEFA14A 1 a16-2194818k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 21, 2016 (November 18, 2016) Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State |
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| November 21, 2016 |
EX-99.1 4 a16-219481ex99d1.htm EX-99.1 Exhibit 99.1 News Bulletin RE: 10701 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: FOR FURTHER INFORMATION AT THE COMPANY: Sharon Madden Vice President of Investor Relations (801) 984-9400 FOR IMMEDIATE RELEASE HEADWATERS INCORPORATED ENTERS INTO DEFINITIVE MERGER AGREEMENT TO BE ACQUIRED BY BORAL LIMITED · Transaction v |
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| November 15, 2016 |
Headwaters 10-K (Annual Report) hwCurrentFolio10K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 15, 2016 |
For the 3‑month period ended September 30, 2016 Exhibit 95 Mine Safety Disclosure Under the Dodd‑Frank Act, each operator of a coal or other mine (and operators of facilities related to mining, as defined in section 3 of the Mine Act) is required to include certain mine safety results in its periodic reports filed with the SEC. |
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| November 15, 2016 |
Headwaters Incorporated Subsidiaries Exhibit 21 Headwaters Incorporated Subsidiaries Allmet Roof Products, Ltd., a British Columbia, Canada corporation Chihuahua Stone LLC, a Utah limited liability company Covol Engineered Fuels, LC, a Utah limited liability company Covol Fuels No. 2, LLC, a Utah limited liability company Covol Fuels No. 4, LLC, a Utah limited liability company Covol Fuels No. 5, LLC, a Utah limited liability company |
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| November 15, 2016 |
Exhibit 12 Ratio of Earnings to Combined Fixed Charges and Preferred Stock Dividends Year Ended September 30, (dollars in thousands) 2012* 2013 2014 2015 2016 Fixed Charges Computation Interest expensed and capitalized(1) $ 38,809 $ 37,100 $ 44,768 $ 58,681 $ 39,312 Amortized premiums, discounts, and capitalized expenses related to indebtedness 14,184 5,841 2,175 6,179 3,973 Reasonable approximati |
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| November 1, 2016 |
EX-99.1 2 a16-208421ex99d1.htm EX-99.1 Exhibit 99.1 N E W S B U L L E T I N RE: Headwaters Incorporated FROM: 10701 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: ANALYST CONTACT: Sharon Madden Tricia Ross Vice President of Investor Relations Financial Profiles (801) 984-9400 (310) 622-8226 FOR IMMEDIATE RELEASE HEADW |
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| November 1, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 1, 2016 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commission (I.R.S. Employer |
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| October 26, 2016 |
Financial Statements and Exhibits 8-K/A 1 a16-2037218ka.htm 8-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 19, 2016 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdict |
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| October 26, 2016 |
HEADWATERS INCORPORATED INTRODUCTION TO UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION EX-99.3 5 a16-203721ex99d3.htm EX-99.3 Exhibit 99.3 HEADWATERS INCORPORATED INTRODUCTION TO UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION Krestmark Acquisition and Related Financing Transaction On August 19, 2016, Headwaters acquired substantially all of the assets and assumed certain liabilities of Krestmark Industries, L.P., a Texas-based company that manufactures and sells high q |
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| October 26, 2016 |
EX-99.2 4 a16-203721ex99d2.htm EX-99.2 Exhibit 99.2 Krestmark Industries, L.P. and Affiliates Combined Financial Statements For the Six Months Ended June 30, 2016 Krestmark Industries, L.P. and Affiliates Contents Combined Financial Statements (Unaudited) Balance Sheets (Unaudited) 1 Statements of Income (Unaudited) 2 Statements of Cash Flows (Unaudited) 3 Notes to Financial Statements (Unaudited) |
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| October 26, 2016 |
EX-99.1 3 a16-203721ex99d1.htm EX-99.1 Exhibit 99.1 Krestmark Industries, L.P. and Affiliates Independent Auditor’s Report and Combined Financial Statements December 31, 2015 Krestmark Industries, L.P. and Affiliates December 31, 2015 Contents Independent Auditor’s Report 1 Combined Financial Statements Balance Sheets 3 Statements of Income 4 Statements of Changes in Partners’ Capital 5 Statements |
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| September 23, 2016 |
HW / Headwaters Inc. / VICTORY CAPITAL MANAGEMENT INC - HEADWATERS INC 13G 073116 Passive Investment SC 13G 1 headwaters13g073116.htm HEADWATERS INC 13G 073116 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 ( Amendment No. )* Headwaters Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 42210P102 (CUSIP Number) Victory Capital Management Inc., 4900 Tiedeman Rd, 4th Floor, Brooklyn, OH 44144 (216) 898-24 |
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| September 23, 2016 |
HW / Headwaters Inc. / RS INVESTMENT MANAGEMENT CO LLC Passive Investment SC 13G/A 1 hw2016rs13ga1.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Headwaters Incorporated (Name of Issuer) Common Stock (Title of Class of Securities) 42210P102 (CUSIP Number) July 31, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the ru |
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| August 25, 2016 |
EX-99.1 3 a16-174781ex99d1.htm EX-99.1 Exhibit 99.1 KN E W S B U L L E T I N RE: Headwaters Incorporated FROM: 10701 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: ANALYST CONTACT: Sharon Madden Tricia Ross Vice President of Investor Relations Financial Profiles (801) 984-9400 (310) 622-8226 FOR IMMEDIATE RELEASE HEAD |
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| August 25, 2016 |
Exhibit 4.2.2 Execution Version INCREMENTAL AMENDMENT INCREMENTAL AMENDMENT, dated as of August 19, 2016 (this ?Amendment?), to the Term Loan Credit Agreement dated as of March 24, 2015 (as amended by Amendment No. 1 dated as of June 30, 2016, and as further amended, supplemented, amended and restated or otherwise modified from time to time, the ?Credit Agreement?) among HEADWATERS INCORPORATED, a |
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| August 25, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 19, 2016 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commission (I.R.S. Employer o |
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| August 25, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 19, 2016 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commission (I.R.S. Employer o |
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| August 25, 2016 |
Exhibit 4.2.2 Execution Version INCREMENTAL AMENDMENT INCREMENTAL AMENDMENT, dated as of August 19, 2016 (this ?Amendment?), to the Term Loan Credit Agreement dated as of March 24, 2015 (as amended by Amendment No. 1 dated as of June 30, 2016, and as further amended, supplemented, amended and restated or otherwise modified from time to time, the ?Credit Agreement?) among HEADWATERS INCORPORATED, a |
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| August 25, 2016 |
EX-99.1 3 a16-174781ex99d1.htm EX-99.1 Exhibit 99.1 KN E W S B U L L E T I N RE: Headwaters Incorporated FROM: 10701 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: ANALYST CONTACT: Sharon Madden Tricia Ross Vice President of Investor Relations Financial Profiles (801) 984-9400 (310) 622-8226 FOR IMMEDIATE RELEASE HEAD |
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| August 3, 2016 |
Headwaters 10-Q (Quarterly Report) 10-Q 1 hw-20160630x10q.htm 10-Q Table of Contents And the UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2016 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from |
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| August 3, 2016 |
EX-10.60 2 hw-20160630ex106092296.htm EX-10.60 Exhibit 10.60 EMPLOYMENT AGREEMENT This amended and restated employment agreement (“Agreement”) is entered into effective as of August 1, 2016 (“Amendment Effective Date”) by and between Kirk A. Benson (the “Executive”) and Headwaters Incorporated, a Delaware corporation (the “Company”). This Agreement supersedes the terms of the employment agreement |
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| August 3, 2016 |
Exhibit 12 Ratio of Earnings to Combined Fixed Charges and Preferred Stock Dividends Nine Months Ended Year Ended September 30, June 30, (dollars in thousands) 2011 2012** 2013 2014 2015 2016 Fixed Charges Computation Interest expensed and capitalized (1) $ 106,557 $ 38,809 $ 37,100 $ 44,768 $ 58,681 $ 24,437 Amortized premiums, discounts, and capitalized expenses related to indebtedness 20,069 14 |
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| August 3, 2016 |
For the 3-month period ended June 30, 2016 Exhibit 95 Mine Safety Disclosure Under the Dodd-Frank Act, each operator of a coal or other mine (and operators of facilities related to mining, as defined in section 3 of the Mine Act) is required to include certain mine safety results in its periodic reports filed with the SEC. |
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| August 2, 2016 |
Exhibit 99.1 N E W S B U L L E T I N FROM: RE: Headwaters Incorporated 10701 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: Sharon Madden Vice President of Investor Relations (801) 984-9400 ANALYST CONTACT: Tricia Ross Financial Profiles (310) 622-8226 FOR IMMEDIATE RELEASE HEADWATERS INCORPORATED ANNOUNCES RESULTS FO |
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| August 2, 2016 |
EX-4.9.12 3 a16-159931ex4d9d12.htm EX-4.9.12 Exhibit 4.9.12 TWELFTH AMENDMENT TO LOAN AND SECURITY AGREEMENT AND EIGHTH AMENDMENT TO GUARANTY AND SECURITY AGREEMENT THIS TWELFTH AMENDMENT TO LOAN AND SECURITY AGREEMENT AND EIGHTH AMENDMENT TO GUARANTY AND SECURITY AGREEMENT (this “Amendment”), dated as of August 1, 2016 is entered into by and among the Lenders signatory hereto, BANK OF AMERICA, N. |
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| August 2, 2016 |
Exhibit 2.1 Execution Version ASSET PURCHASE AGREEMENT BETWEEN KRESTMARK INDUSTRIES, L.P., CREST VINYL EXTRUSIONS, LLC AND LEGACY VINYL WINDOWS, LP, AS SELLERS; WILLIAM E. ROBINSON, JR. AND HEADWATERS WINDOWS, LLC AND HEADWATERS INCORPORATED Dated as of August 1, 2016 Table of Contents Page ARTICLE I DEFINITIONS 1 Section 1.1 Certain Definitions 1 Section 1.2 Terms Defined Elsewhere in this Agreem |
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| August 2, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2016 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commission (I.R.S. Employer of |
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| July 6, 2016 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 8-K 1 a16-1451818k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 30, 2016 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Comm |
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| July 6, 2016 |
EX-4.2.1 2 a16-145181ex4d2d1.htm EX-4.2.1 Exhibit 4.2.1 EXECUTION VERSION AMENDMENT NO. 1 AMENDMENT NO. 1, dated as of June 30, 2016 (this “Amendment”), to the Term Loan Credit Agreement dated as of March 24, 2015 (as amended, supplemented, amended and restated or otherwise modified from time to time, the “Credit Agreement”) among HEADWATERS INCORPORATED, a Delaware corporation (the “Borrower”), t |
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| July 6, 2016 |
EX-99.1 3 a16-145181ex99d1.htm EX-99.1 Exhibit 99.1 N E W S B U L L E T I N RE: Headwaters Incorporated FROM: 10701 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: ANALYST CONTACT: Sharon Madden Tricia Ross Vice President of Investor Relations Financial Profiles (801) 984-9400 (310) 622-8226 FOR IMMEDIATE RELEASE HEADW |
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| May 5, 2016 |
Headwaters 10-Q (Quarterly Report) 10-Q 1 a16-7953110q.htm 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2016 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commiss |
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| May 5, 2016 |
EX-12 2 a16-79531ex12.htm EX-12 Exhibit 12 Ratio of Earnings to Combined Fixed Charges and Preferred Stock Dividends Six Months Ended Year Ended September 30, March 31, (dollars in thousands) 2011 2012** 2013 2014 2015 2016 Fixed Charges Computation Interest expensed and capitalized (1) $ 106,557 $ 38,809 $ 37,100 $ 44,768 $ 58,681 $ 15,498 Amortized premiums, discounts, and capitalized expenses r |
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| May 5, 2016 |
For the 3-month period ended March 31, 2016 EX-95 6 a16-79531ex95.htm EX-95 Exhibit 95 Mine Safety Disclosure Under the Dodd-Frank Act, each operator of a coal or other mine (and operators of facilities related to mining, as defined in section 3 of the Mine Act) is required to include certain mine safety results in its periodic reports filed with the SEC. The following information is presented for each coal reclamation site operated by Head |
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| May 3, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 a16-795338k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 3, 2016 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commiss |
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| May 3, 2016 |
Exhibit 99.1 N E W S B U L L E T I N RE: Headwaters Incorporated FROM: 10701 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: Sharon Madden Vice President of Investor Relations (801) 984-9400 ANALYST CONTACT: Tricia Ross Financial Profiles (310) 622-8226 FOR IMMEDIATE RELEASE HEADWATERS INCORPORATED ANNOUNCES RESULTS FO |
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| February 26, 2016 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 25, 2016 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commission (I.R.S. Employer |
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| February 16, 2016 |
HW / Headwaters Inc. / Gates Capital Management, Inc. Passive Investment SC 13G/A 1 hw123115a4.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* Headwaters Incorporated (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 42210P102 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the approp |
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| February 12, 2016 |
HW / Headwaters Inc. / RS INVESTMENT MANAGEMENT CO LLC - HEADWATERS INCORPORATED Passive Investment Headwaters Incorporated UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 11, 2016 |
HW / Headwaters Inc. / Wellington Management Group LLP - SEC SCHEDULE 13G Passive Investment SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )* Headwaters Incorporated (Name of Issuer) Common Stock (Title of Class of Securities) 42210P102 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate bo |
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| February 11, 2016 |
HW / Headwaters Inc. / VANGUARD GROUP INC Passive Investment SC 13G 1 headwatersinc.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 0 )* Name of issuer: Headwaters Inc Title of Class of Securities: Common Stock CUSIP Number: 42210P102 Date of Event Which Requires Filing of this Statement: December 31, 2015 Check the appropriate box to designate the rule pursuant to which th |
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| February 4, 2016 |
EX-99.37 8 a15-241571ex99d37.htm EX-99.37 Exhibit 99.37 HEADWATERS INCORPORATED 2010 INCENTIVE COMPENSATION PLAN RESTRICTED STOCK AWARD GRANT NOTICE 4 November 2015 Headwaters Incorporated (the “Company”), pursuant to its 2010 Incentive Compensation Plan (the “Plan”), hereby awards to Participant the number of shares of the Company’s Common Stock set forth below (“Award”). This Award is subject to |
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| February 4, 2016 |
For the 3-month period ended December 31, 2015 Exhibit 95 Mine Safety Disclosure Under the Dodd-Frank Act, each operator of a coal or other mine (and operators of facilities related to mining, as defined in section 3 of the Mine Act) is required to include certain mine safety results in its periodic reports filed with the SEC. |
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| February 4, 2016 |
EX-12 2 a15-241571ex12.htm EX-12 Exhibit 12 Ratio of Earnings to Combined Fixed Charges and Preferred Stock Dividends Quarter Ended Year Ended September 30, December 31, (dollars in thousands) 2011 2012** 2013 2014 2015 2015 Fixed Charges Computation Interest expensed and capitalized (1) $ 106,557 $ 38,809 $ 37,100 $ 44,768 $ 58,681 $ 7,820 Amortized premiums, discounts, and capitalized expenses r |
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| February 4, 2016 |
EX-99.36 7 a15-241571ex99d36.htm EX-99.36 Exhibit 99.36 HEADWATERS INCORPORATED 2010 INCENTIVE COMPENSATION PLAN NOTICE OF STOCK APPRECIATION RIGHT GRANT 4 November 2015 [Name] Headwaters Incorporated (the “Company”) has granted to you a Stock Appreciation Right (“SAR”) based on the Fair Market Value of the common stock of the Company under the Headwaters Incorporated 2010 Incentive Compensation P |
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| February 4, 2016 |
HW / Headwaters Inc. 10-Q - Quarterly Report - 10-Q 10-Q 1 a15-24157110q.htm 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2015 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Com |
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| February 2, 2016 |
Exhibit 99.1 NEWS BULLETIN FROM: RE: Headwaters Incorporated 10701 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: Sharon Madden Vice President of Investor Relations (801) 984-9400 ANALYST CONTACT: Tricia Ross Financial Profiles (310) 622-8226 FOR IMMEDIATE RELEASE HEADWATERS INCORPORATED ANNOUNCES RESULTS FOR FIRST QU |
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| February 2, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 a16-334418k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 2, 2016 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Co |
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| January 7, 2016 |
DEFA14A 1 a15-253923defa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (a |
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| January 6, 2016 |
Use these links to rapidly review the document PROXY STATEMENT TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 3, 2015 |
EX-99.1 2 a15-222411ex99d1.htm EX-99.1 Exhibit 99.1 N E W S B U L L E T I N FROM: RE: Headwaters Incorporated 10701 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: Sharon Madden Vice President of Investor Relations (801) 984-9400 ANALYST CONTACT: Tricia Ross Financial Profiles (310) 622-8226 FOR IMMEDIATE RELEASE HEADW |
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| November 3, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 a15-2224118k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 3, 2015 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (C |
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| August 4, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 4, 2015 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commission (I.R.S. Employer of |
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| August 4, 2015 |
Exhibit 99.1 N E W S B U L L E T I N FROM: RE: Headwaters Incorporated 10701 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: Sharon Madden Vice President of Investor Relations (801) 984-9400 ANALYST CONTACT: Tricia Ross Financial Profiles (310) 622-8226 FOR IMMEDIATE RELEASE HEADWATERS INCORPORATED ANNOUNCES FISCAL 201 |
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| May 5, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 a15-1079918k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2015 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commis |
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| May 5, 2015 |
EX-99.1 2 a15-107991ex99d1.htm EX-99.1 Exhibit 99.1 N E W S B U L L E T I N FROM: RE: Headwaters Incorporated 10701 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: Sharon Madden Vice President of Investor Relations (801) 984-9400 ANALYST CONTACT: Tricia Ross Financial Profiles (310) 622-8226 FOR IMMEDIATE RELEASE HEADW |
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| March 24, 2015 |
Exhibit 4.2 Deal CUSIP: 42210FAE4 Term Loan CUSIP: 42210FAF1 $425,000,000 TERM LOAN CREDIT AGREEMENT Dated as of March 24, 2015 Among HEADWATERS INCORPORATED, as the Borrower, THE GUARANTORS PARTY HERETO FROM TIME TO TIME, DEUTSCHE BANK AG NEW YORK BRANCH, as Administrative Agent, and THE OTHER LENDERS PARTY HERETO FROM TIME TO TIME, DEUTSCHE BANK SECURITIES INC. as Sole Lead Arranger and Sole Boo |
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| March 24, 2015 |
8-K 1 a15-745918k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 24, 2015 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Comm |
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| March 6, 2015 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 2, 2015 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commission (I.R.S. Employer of |
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| March 6, 2015 |
EX-4.9.11 2 a15-61971ex4d9d11.htm EX-4.9.11 Exhibit 4.9.11 [EXECUTION COPY] ELEVENTH AMENDMENT TO LOAN AND SECURITY AGREEMENT AND SEVENTH AMENDMENT TO GUARANTY AND SECURITY AGREEMENT THIS ELEVENTH AMENDMENT TO LOAN AND SECURITY AGREEMENT AND SEVENTH AMENDMENT TO GUARANTY AND SECURITY AGREEMENT (this “Amendment”), dated as of March 2, 2015 is entered into by and among the Lenders signatory hereto, |
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| February 27, 2015 |
Submission of Matters to a Vote of Security Holders 8-K 1 a15-555818k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 26, 2015 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (C |
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| February 17, 2015 |
HW / Headwaters Inc. / Canton Holdings, L.L.C. - SCHEDULE 13G/A Passive Investment Schedule 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A (Rule 13d-102) (Amendment No. |
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| February 17, 2015 |
SC 13G/A 1 hw123114a3.htm SCHEDULE 13G AMENDMENT FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* Headwaters Incorporated (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 42210P102 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of th |
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| February 12, 2015 |
HW / Headwaters Inc. / Wellington Management Group LLP - SEC SCHEDULE 13G Passive Investment SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Headwaters Incorporated (Name of Issuer) Common Stock (Title of Class of Securities) 42210P102 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate bo |
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| February 3, 2015 |
EX-99.1 2 a15-36161ex99d1.htm EX-99.1 Exhibit 99.1 N E W S B U L L E T I N FROM: RE: Headwaters Incorporated 10701 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: Sharon Madden Vice President of Investor Relations (801) 984-9400 ANALYST CONTACT: Tricia Ross Financial Profiles (310) 622-8226 FOR IMMEDIATE RELEASE HEADWA |
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| February 3, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 3, 2015 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commission (I.R.S. Employer |
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| January 7, 2015 |
HW / Headwaters Inc. DEF 14A - - DEF 14A Use these links to rapidly review the document PROXY STATEMENT TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| January 7, 2015 |
HW / Headwaters Inc. DEFA14A - - DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| November 4, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 a14-2362418k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 4, 2014 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (C |
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| November 4, 2014 |
EX-99.1 2 a14-236241ex99d1.htm EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE HEADWATERS INCORPORATED ANNOUNCES FOURTH QUARTER AND FISCAL 2014 RESULTS · FY 2014 Revenue Increased 13% to $791 Million · FY 2014 Adjusted EBITDA Increased 19% to $138 Million · FY 2014 Operating Income Increased 23% to $67 Million · FY 2014 Adjusted EPS from Continuing Operations Increased 30% to $0.70 SOUTH JORDAN, UTAH, |
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| October 10, 2014 |
HW / Headwaters Inc. / Wellington Management Group LLP - DISCLOSURE DOCUMENT Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Headwaters Incorporated (Name of Issuer) Common Stock (Title of Class of Securities) 42210P102 (CUSIP Number) September 30, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this |
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| October 1, 2014 |
Exhibit 99.1 N E W S B U L L E T I N FROM: RE: Headwaters Incorporated 10701 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: Sharon Madden Vice President of Investor Relations (801) 984-9400 ANALYST CONTACT: Tricia Ross Financial Profiles (310) 622-8226 FOR IMMEDIATE RELEASE HEADWATERS INCORPORATED ANNOUNCES APPOINTMEN |
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| October 1, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 1, 2014 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commission (I.R.S. Employer o |
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| July 29, 2014 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 29, 2014 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commission (I.R.S. Employer of |
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| June 25, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 23, 2014 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commission (I.R.S. Employer of |
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| June 25, 2014 |
Exhibit 10.60 EMPLOYMENT AGREEMENT This amended and restated employment agreement (“Agreement”) is entered into effective as of June 23, 2014 (“Amendment Effective Date”) by and between Kirk A. Benson (the “Executive”) and Headwaters Incorporated, a Delaware corporation (the “Company”). This Agreement supersedes the terms of the employment agreement between the Executive and the Company dated Apri |
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| June 6, 2014 |
Financial Statements and Exhibits, Other Events 8-K 1 a14-1482218k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 19, 2014 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commi |
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| June 6, 2014 |
IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF UTAH, CENTRAL DIVISION EX-99.1 2 a14-148221ex99d1.htm EX-99.1 Exhibit 99.1 IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF UTAH, CENTRAL DIVISION JAMES W. EDWARDS, derivatively on behalf of HEADWATERS INCORPORATED and individually on behalf of himself and all other similarly situated shareholders of HEADWATERS INCORPORATED, Plaintiff, vs. KIRK A. BENSON, E.J. GARN, RAYMOND J. WELLER, R. SAM CHRISTENSEN, WILLIAM |
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| June 6, 2014 |
424B3 1 a14-46641424b3.htm 424B3 Table of Contents Filed Pursuant to Rule 424(b)(3) Registration Number 333-193756 PROSPECTUS Headwaters Incorporated OFFER TO EXCHANGE ALL OUTSTANDING $150,000,000 7¼% Senior Notes due 2019 FOR NEWLY ISSUED, REGISTERED $150,000,000 7¼% Senior Notes due 2019 We are offering to exchange 7¼% Senior Notes due 2019 of Headwaters Incorporated (“Headwaters”), which have b |
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| June 3, 2014 |
Headwaters Incorporated 10701 South River Front Parkway, Suite 300 South Jordan, UT 84095 June 3, 2014 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| May 22, 2014 |
Exhibit 5.5 Mail PO Box 100200 (29202) www.rtt-law.com 220 Executive Center Dr, Suite 109 Stuart M. Lee Tel 803-771-7900 Columbia, South Carolina 29210 [email protected] Fax 803-744-3562 May 22, 2014 Headwaters Incorporated 10701 South River Front Parkway, Suite 300 South Jordan, UT 84095 Re: Registration Statement on Form S-4 Ladies and Gentlemen: We have acted as special South Carolina counsel to |
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| May 22, 2014 |
Exhibit 5.4 WEGMAN HESSLER & VANDERBURG Legal Professional Association 6055 Rockside Woods Boulevard, Suite 200 Cleveland, OH 44131 Telephone: (216) 642-3342 Facsimile: (216) 642-8826 www.wegmanlaw.com May 22, 2014 Headwaters Incorporated 10701 S. River Front Parkway, Ste 300 South Jordan, UT 84095 Re: Amendment No. 1 and Amendment No. 2 to Registration Statement on Form S-4 Ladies and Gentlemen: |
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| May 22, 2014 |
As filed with the Securities and Exchange Commission on May 22, 2014 Registration No. |
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| May 1, 2014 |
S-4/A 1 a14-46641s4a.htm S-4/A Table of Contents As filed with the Securities and Exchange Commission on May 1, 2014 Registration No. 333-193756 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Amendment No. 1 To FORM S-4 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 HEADWATERS INCORPORATED (Exact Name of Registrant as Specified in its Charter) Delaware 2990 87-054 |
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| May 1, 2014 |
Exhibit 5.3 LAW OFFICE DANIEL R. SHEMKE, P.C. 214 S. MAIN ST. SUITE 206 ANN ARBOR, MICHIGAN 48104 EMAIL: [email protected] (734) 663-4333 (734) 663-9772 (FAX) May 1, 2014 Headwaters Incorporated 10701 South River Front Parkway Suite 300 South Jordan, Utah 84095 Ladies and Gentlemen: We have acted as special counsel in the State of Michigan ( the “State”) to Tapco International Corporation, a |
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| May 1, 2014 |
Exhibit 5.5 Mail PO Box 100200 (29202) www.rtt-law.com 220 Executive Center Dr, Suite 109 Stuart M. Lee Tel 803-771-7900 Columbia, South Carolina 29210 [email protected] Fax 803-744-3562 May 1, 2014 Headwaters Incorporated 10701 South River Front Parkway, Suite 300 South Jordan, UT 84095 Re: Registration Statement on Form S-4 Ladies and Gentlemen: We have acted as special South Carolina counsel to |
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| May 1, 2014 |
Exhibit 5.4 WEGMAN HESSLER & VANDERBURG Legal Professional Association 6055 Rockside Woods Boulevard, Suite 200 Cleveland, OH 44131 Telephone: (216) 642-3342 Facsimile: (216) 642-8826 www.wegmanlaw.com May 1, 2014 Headwaters Incorporated 10701 S. River Front Parkway, Ste 300 South Jordan, UT 84095 Re: Amendment No. 1 to Registration Statement on Form S-4 Ladies and Gentlemen: We have acted as spec |
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| April 29, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 29, 2014 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commission (I.R.S. Employer of |
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| April 29, 2014 |
EX-99.1 2 a14-114291ex99d1.htm EX-99.1 Exhibit 99.1 N E W S B U L L E T I N FROM: RE: Headwaters Incorporated 10701 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: Sharon Madden Vice President of Investor Relations (801) 984-9400 ANALYST CONTACT: Tricia Ross Financial Profiles (310) 622-8226 FOR IMMEDIATE RELEASE HEADW |
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| April 16, 2014 |
8-K 1 a14-1068718k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 15, 2014 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Com |
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| April 3, 2014 |
HEADWATERS INCORPORATED 10701 South River Front Parkway South Jordan, UT 84095 April 3, 2014 United States Securities and Exchange Commission 100 F Street, N. |
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| March 18, 2014 |
HEADWATERS INCORPORATED 10701 South River Front Parkway, Suite 300 South Jordan, UT 84095 March 18, 2014 United States Securities and Exchange Commission 100 F Street, N. |
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| February 28, 2014 |
Submission of Matters to a Vote of Security Holders - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 27, 2014 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commission (I.R.S. Employer |
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| February 14, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 14, 2014 |
EX-99.1 Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the Common Stock, $.001 par value, of Headwaters Incorporated, a Delaware corporation, and further agree that thi |
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| February 14, 2014 |
HW / Headwaters Inc. / Canton Holdings, L.L.C. - SC 13G Passive Investment SC 13G 1 d676524dsc13g.htm SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) Headwaters Incorporated (Name of Issuer) Common Stock, $.001 par value (Title of Class of Securities) 42210P102 (CUSIP Number) December 31, |
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| February 11, 2014 |
HW / Headwaters Inc. / VANGUARD GROUP INC Passive Investment SC 13G/A 1 headwaters.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 2 )* Name of issuer: Headwaters Inc Title of Class of Securities: Common Stock CUSIP Number: 42210P102 Date of Event Which Requires Filing of this Statement: December 31, 2013 Check the appropriate box to designate the rule pursuant to which thi |
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| February 5, 2014 |
Exhibit 25.1 File No. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE o CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) WILMINGTON TRUST, NATIONAL ASSOCIATION (Exact name of trustee as specified in its charter) 16-1486454 (I.R.S |
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| February 5, 2014 |
Exhibit 5.5 Mail PO Box 100200 (29202) www.rtt-law.com 220 Executive Center Dr, Suite 109 Stuart M. Lee Tel 803-771-7900 Columbia, South Carolina 29210 [email protected] Fax 803-744-3562 February 3, 2014 Headwaters Incorporated 10701 South River Front Parkway, Suite 300 South Jordan, UT 84095 Re: Registration Statement on Form S-4 Ladies and Gentlemen: We have acted as special South Carolina counse |
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| February 5, 2014 |
EX-99.2 12 a14-46641ex99d2.htm EX-99.2 Exhibit 99.2 HEADWATERS INCORPORATED OFFER TO EXCHANGE $150,000,000 principal amount of 7¼% Senior Notes due 2019 guaranteed by substantially all domestic subsidiaries of Headwaters Incorporated, which have been registered under the Securities Act of 1933, for any and all 7¼% Senior Notes due 2019 guaranteed by substantially all domestic subsidiaries of Headw |
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| February 5, 2014 |
Table of Contents As filed with the Securities and Exchange Commission on February 4, 2014 Registration No. |
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| February 5, 2014 |
Exhibit 5.6 February 4, 2014 Headwaters Incorporated 10701 South River Front Parkway, Suite 300 South Jordan, UT 84095 Re: Registration Statement on Form S-4 Ladies and Gentlemen: We are acting as local Florida counsel to Entegra Roof Tile, LLC (“Entegra”), Entegra Roof Tile Sales, LLC (“Entegra Sales”), Entegra Roof Tile Delivery, LLC (“Entegra Delivery”), and Entegra Roof Tile Okeechobee, LLC (“ |
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| February 5, 2014 |
NOTICE OF GUARANTEED DELIVERY for Tender of 7¼% Senior Notes due 2019 of Headwaters Incorporated Exhibit 99.4 NOTICE OF GUARANTEED DELIVERY for Tender of 7¼% Senior Notes due 2019 of Headwaters Incorporated As set forth in the Exchange Offer (as defined below), this Notice of Guaranteed Delivery (or a facsimile hereof) or one substantially equivalent hereto or the electronic form used by The Depository Trust Company (“DTC”) for this purpose must be used to accept the Exchange Offer of certifi |
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| February 5, 2014 |
Exhibit 5.4 WEGMAN HESSLER & VANDERBURG Legal Professional Association 6055 Rockside Woods Boulevard, Suite 200 Cleveland, OH 44131 Telephone: (216) 642-3342 Facsimile: (216) 642-8826 www.wegmanlaw.com February 3, 2014 Headwaters Incorporated 10701 S. River Front Parkway, Ste 300 South Jordan, UT 84095 Re: Registration Statement on Form S-4 Ladies and Gentlemen: We have acted as special counsel in |
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| February 5, 2014 |
Exhibit 99.3 HEADWATERS INCORPORATED OFFER TO EXCHANGE $150,000,000 principal amount of 7¼% Senior Notes due 2019 guaranteed by substantially all domestic subsidiaries of Headwaters Incorporated, which have been registered under the Securities Act of 1933, for any and all 7¼% Senior Notes due 2019 guaranteed by substantially all domestic subsidiaries of Headwaters Incorporated , 2014 To Our Client |
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| February 5, 2014 |
Exhibit 99.1 THIS DOCUMENT IS IMPORTANT AND REQUIRES YOUR IMMEDIATE ATTENTION. If you are in any doubt as to the action to be taken, you should immediately consult your broker, bank manager, lawyer, accountant, investment advisor or other professional. This document relates to an exchange offer (the “Exchange Offer”) made by Headwaters Incorporated (“Headwaters”). The Exchange Offer is described i |
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| February 5, 2014 |
EX-99.5 15 a14-46641ex99d5.htm EX-99.5 Exhibit 99.5 HEADWATERS INCORPORATED OFFER TO EXCHANGE $150,000,000 principal amount of 7¼% Senior Notes due 2019 guaranteed by substantially all domestic subsidiaries of Headwaters Incorporated, which have been registered under the Securities Act of 1933, for any and all 7¼% Senior Notes due 2019 guaranteed by substantially all domestic subsidiaries of Headw |
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| February 5, 2014 |
Exhibit 5.3 LAW OFFICE DANIEL R. SHEMKE, P.C. 214 S. MAIN ST. SUITE 206 ANN ARBOR, MICHIGAN 48104 EMAIL: [email protected] (734) 663-4333 (734) 663-9772 (FAX) February 3, 2014 Headwaters Incorporated 10701 South River Front Parkway Suite 300 South Jordan, Utah 84095 Ladies and Gentlemen: We have acted as special counsel in the State of Michigan ( the “State”) to Tapco International Corporatio |
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| February 5, 2014 |
Headwaters 10-Q (Quarterly Report) 10-Q 1 a14-3716110q.htm 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2013 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Comm |
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| February 4, 2014 |
Results of Operations and Financial Condition, Financial Statements and Exhibits 8-K 1 a14-466448k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 4, 2014 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Co |
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| February 4, 2014 |
EX-99.1 2 a14-46644ex99d1.htm EX-99.1 Exhibit 99.1 NEWS BULLETIN RE: Headwaters Incorporated 10701 S. River Front Parkway, Suite 300 FROM: South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: ANALYST CONTACT: Sharon Madden Tricia Ross Vice President of Investor Relations Financial Profiles (801) 984-9400 (310) 622-8226 FOR IMMEDIATE RELEASE HEADWATERS INCOR |
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| February 4, 2014 |
February 4, 2014 VIA EDGAR Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Headwaters Incorporated and Subsidiary Guarantors Registration Statement on Form S-4 Ladies and Gentlemen: On behalf of Headwaters Incorporated, a Delaware corporation (the “Issuer”), and the Issuer’s subsidiary guarantors (collectively, the “Guarantors” and, together with the Issuer, the “R |
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| January 7, 2014 |
DEFA14A 1 a14-11472defa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as |
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| January 6, 2014 |
Use these links to rapidly review the document PROXY STATEMENT TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 12, 2013 |
EX-99.1 5 a13-261601ex99d1.htm EX-99.1 Exhibit 99.1 N E W S B U L L E T I N FROM: RE: Headwaters Incorporated 10653 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: Sharon Madden Vice President of Investor Relations (801) 984-9400 ANALYST CONTACT: Tricia Ross Financial Profiles (916) 939-7285 FOR IMMEDIATE RELEASE HEADW |
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| December 12, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 9, 2013 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction of incorporation) (Commission |
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| December 12, 2013 |
Exhibit 4.9.9 NINTH AMENDMENT TO LOAN AND SECURITY AGREEMENT AND SIXTH AMENDMENT TO GUARANTY AND SECURITY AGREEMENT THIS NINTH AMENDMENT TO LOAN AND SECURITY AGREEMENT AND SIXTH AMENDMENT TO GUARANTY AND SECURITY AGREEMENT (this “Amendment”), dated as of December 9, 2013 is entered into by and among the Lenders signatory hereto, BANK OF AMERICA, N.A., as Agent for the Lenders (in such capacity, “A |
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| December 12, 2013 |
$150,000,000 7¼% Senior Notes due 2019 REGISTRATION RIGHTS AGREEMENT Exhibit 4.2 EXECUTION VERSION $150,000,000 7¼% Senior Notes due 2019 REGISTRATION RIGHTS AGREEMENT December 10, 2013 Deutsche Bank Securities Inc. As Representative of the Initial Purchasers c/o Deutsche Bank Securities Inc. 60 Wall Street New York, New York 10005 Ladies and Gentlemen: Headwaters Incorporated, a Delaware corporation (the “Issuer”), proposes to issue and sell to Deutsche Bank Secur |
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| December 12, 2013 |
EX-4.1 2 a13-261601ex4d1.htm EX-4.1 Exhibit 4.1 EXECUTION VERSION INDENTURE Dated as of December 10, 2013 Among HEADWATERS INCORPORATED, the GUARANTORS named herein and WILMINGTON TRUST, NATIONAL ASSOCIATION, as Trustee 7¼% Senior Notes due 2019 CROSS-REFERENCE TABLE TIA Section Indenture Section 310 (a)(1) 7.10 (a)(2) 7.10 (a)(3) N.A. (a)(4) N.A. (a)(5) 7.08; 7.10 (b) 7.08; 7.10; 12.02 (c) N.A. 3 |
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| December 10, 2013 |
HW / Headwaters Inc. / WELLINGTON MANAGEMENT GROUP LLP - DISCLOSURE DOCUMENT Passive Investment SC 13G/A 1 secfiling.htm DISCLOSURE DOCUMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Headwaters Incorporated (Name of Issuer) Common Stock (Title of Class of Securities) 42210P102 (CUSIP Number) November 30, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box |
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| December 6, 2013 |
Financial Statements and Exhibits, Other Events 8-K 1 a13-2533038k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 5, 2013 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Co |
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| December 6, 2013 |
HEADWATERS INCORPORATED SHAREHOLDER UPDATE December 5, 2013 EX-99.1 2 a13-253304ex99d1.htm EX-99.1 Exhibit 99.1 HEADWATERS INCORPORATED SHAREHOLDER UPDATE December 5, 2013 Forward Looking Statements Certain statements contained in this press release are forward-looking statements within the meaning of federal securities laws and Headwaters intends that such forward-looking statements be subject to the safe-harbor created thereby. Forward-looking statements |
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| December 6, 2013 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 a13-2533048k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 4, 2013 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (C |
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| December 6, 2013 |
Exhibit 99.1 N E W S B U L L E T I N FROM: RE: Headwaters Incorporated 10653 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: Sharon Madden Vice President of Investor Relations (801) 984-9400 ANALYST CONTACT: Tricia Ross Financial Profiles (916) 939-7285 FOR IMMEDIATE RELEASE HEADWATERS INCORPORATED ANNOUNCES PRICING OF |
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| December 4, 2013 |
EX-99.3 4 a2217611zex-993.htm EX-99.3 QuickLinks - Click here to rapidly navigate through this document Exhibit 99.3 N E W S B U L L E T I N FROM: RE: Headwaters Incorporated 10653 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: Sharon Madden Vice President of Investor Relations (801) 984-9400 ANALYST CONTACT: Tricia R |
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| December 4, 2013 |
EX-99.1 2 a2217611zex-991.htm EX-99.1 QuickLinks - Click here to rapidly navigate through this document Exhibit 99.1 Headwaters Incorporated Supplemental Regulation FD Disclosure Statement Dated December 4, 2013 Our Company Headwaters is a building products company operating in the light building products and heavy building materials sectors. Our vision is to improve lives through innovative advan |
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| December 4, 2013 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events 8-K 1 a2217611z8-k.htm 8-K QuickLinks - Click here to rapidly navigate through this document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 4, 2013 Headwaters Incorporated (Exact name of registrant as specified in its cha |
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| December 4, 2013 |
HEADWATERS INCORPORATED ANNOUNCES PRIVATE PLACEMENT OF SENIOR NOTES EX-99.2 3 a2217611zex-992.htm EX-99.2 QuickLinks - Click here to rapidly navigate through this document Exhibit 99.2 N E W S B U L L E T I N FROM: RE: Headwaters Incorporated 10653 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: Sharon Madden Vice President of Investor Relations (801) 984-9400 ANALYST CONTACT: Tricia R |
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| November 12, 2013 |
EX-4.9.8 2 a13-239541ex4d9d8.htm EX-4.9.8 Exhibit 4.9.8 EIGHTH AMENDMENT TO LOAN AND SECURITY AGREEMENT AND FIFTH AMENDMENT TO GUARANTY AND SECURITY AGREEMENT THIS EIGHTH AMENDMENT TO LOAN AND SECURITY AGREEMENT AND FIFTH AMENDMENT TO GUARANTY AND SECURITY AGREEMENT (this “Amendment”), dated as of November 6, 2013 is entered into by and among the Lenders signatory hereto, BANK OF AMERICA, N.A., as |
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| November 12, 2013 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K 1 a13-2395418k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 6, 2013 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Co |
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| November 7, 2013 |
HW / Headwaters Inc. / Gates Capital Management, Inc. - SCHEDULE 13G AMENDMENT Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| November 5, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 a13-2358318k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 5, 2013 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (C |
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| November 5, 2013 |
Exhibit 99.1 N E W S B U L L E T I N FROM: RE: Headwaters Incorporated 10653 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: Sharon Madden Vice President of Investor Relations (801) 984-9400 ANALYST CONTACT: Tricia Ross Financial Profiles (916) 939-7285 FOR IMMEDIATE RELEASE HEADWATERS INCORPORATED ANNOUNCES FOURTH QUA |
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| September 23, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Headwaters Incorporated (Name of Issuer) Common Stock (Title of Class of Securities) 42210P102 (CUSIP Number) September 13, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: o Rule 13d-1(b) x Rule 13d-1(c) o Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. |
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| July 30, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 a13-1751518k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 30, 2013 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Comm |
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| July 30, 2013 |
EX-99.1 2 a13-175151ex99d1.htm EX-99.1 Exhibit 99.1 N E W S B U L L E T I N FROM: RE: Headwaters Incorporated 10653 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: Sharon Madden Vice President of Investor Relations (801) 984-9400 ANALYST CONTACT: Tricia Ross Financial Profiles (916) 939-7285 FOR IMMEDIATE RELEASE HEADW |
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| July 10, 2013 |
HW / Headwaters Inc. / WELLINGTON MANAGEMENT GROUP LLP - DISCLOSURE DOCUMENT Passive Investment SC 13G/A 1 secfiling.htm DISCLOSURE DOCUMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Headwaters Incorporated (Name of Issuer) Common Stock (Title of Class of Securities) 42210P102 (CUSIP Number) June 30, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to |
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| May 8, 2013 |
EX-10.104 2 a13-118941ex10d104.htm EX-10.104 Exhibit 10.104 NOTE PURCHASE AGREEMENT This Note Purchase Agreement (this “Agreement”) is made and entered into as of May , 2013, by and between the Holders listed on Schedule A (each a “Holder”, and collectively, the “Holders”), and Headwaters Incorporated, a Delaware corporation (the “Company”). RECITALS WHEREAS, each Holder currently holds that princ |
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| May 8, 2013 |
EX-99.1 3 a13-118941ex99d1.htm EX-99.1 Exhibit 99.1 N E W S B U L L E T I N FROM: RE: Headwaters Incorporated 10653 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: Sharon Madden Vice President of Investor Relations (801) 984-9400 ANALYST CONTACT: Tricia Ross Financial Profiles (916) 939-7285 FOR IMMEDIATE RELEASE HEADW |
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| May 8, 2013 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K 1 a13-1189418k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 7, 2013 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commis |
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| April 30, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 30, 2013 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commission (I.R.S. Employer of |
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| April 30, 2013 |
EX-99.1 2 a13-111421ex99d1.htm EX-99.1 Exhibit 99.1 RE: Headwaters Incorporated 10653 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: ANALYST CONTACT: Sharon Madden Tricia Ross Vice President of Investor Relations Financial Profiles (801) 984-9400 (916) 939-7285 FOR IMMEDIATE RELEASE HEADWATERS INCORPORATED ANNOUNCES R |
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| February 22, 2013 |
Submission of Matters to a Vote of Security Holders 8-K 1 a13-586118k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 21, 2013 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (C |
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| February 14, 2013 |
HW / Headwaters Inc. / WELLINGTON MANAGEMENT GROUP LLP - DISCLOSURE DOCUMENT Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Headwaters Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 42210P102 (CUSIP Number) December 31, 2012 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| February 12, 2013 |
HW / Headwaters Inc. / VANGUARD GROUP INC Passive Investment SC 13G/A 1 headwatersinc.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1 )* Name of issuer: Headwaters Inc Title of Class of Securities: Common Stock CUSIP Number: 42210P102 Date of Event Which Requires Filing of this Statement: December 31, 2012 Check the appropriate box to designate the rule pursuant to which |
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| February 11, 2013 |
HW / Headwaters Inc. / DIMENSIONAL FUND ADVISORS LP - SCHEDULE 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* HEADWATERS INC (Name of Issuer) Common Stock (Title of Class of Securities) 42210P102 (CUSIP Number) December 31, 2012 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| January 29, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 a13-386218k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 29, 2013 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Co |
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| January 29, 2013 |
EX-99.1 2 a13-38621ex99d1.htm EX-99.1 Exhibit 99.1 N E W S B U L L E T I N FROM: RE: Headwaters Incorporated 10653 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: Sharon Madden Vice President of Investor Relations (801) 984-9400 ANALYST CONTACT: Tricia Ross Financial Profiles (916) 939-7285 FOR IMMEDIATE RELEASE HEADWA |
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| January 7, 2013 |
DEF 14A 1 a2212336zdef14a.htm DEF 14A Use these links to rapidly review the document PROXY STATEMENT TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the |
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| January 7, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| December 26, 2012 |
EX-99.1 4 a12-291894ex99d1.htm EX-99.1 Exhibit 99.1 N E W S B U L L E T I N FROM: RE: Headwaters Incorporated 10653 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: Sharon Madden Vice President of Investor Relations (801) 984-9400 ANALYST CONTACT: Tricia Ross Financial Profiles (916) 939-7285 FOR IMMEDIATE RELEASE HEADW |
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| December 26, 2012 |
EX-1.1 2 a12-291894ex1d1.htm EX-1.1 Exhibit 1.1 EXECUTION VERSION 10,000,000 Shares HEADWATERS INCORPORATED Common Stock ($0.001 Par Value) EQUITY UNDERWRITING AGREEMENT December 18, 2012 Deutsche Bank Securities Inc. Stifel, Nicolaus & Company, Incorporated As Representatives of the Several Underwriters c/o Deutsche Bank Securities Inc. 60 Wall Street, 4th Floor New York, New York 10005 Ladies an |
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| December 26, 2012 |
Financial Statements and Exhibits, Other Events 8-K 1 a12-2918948k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 18, 2012 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (C |
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| December 19, 2012 |
Use these links to rapidly review the document Table of Contents TABLE OF CONTENTS Table of Contents Filed Pursuant to Rule 424(b)(5) Commission File No. |
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| December 17, 2012 |
EX-2.1 2 a12-291893ex2d1.htm EX-2.1 Exhibit 2.1 EXECUTION VERSION ASSET PURCHASE AGREEMENT BY AND AMONG TAPCO INTERNATIONAL CORPORATION AND KLEER LUMBER, INC. AND LOUIS H. PRICE WALTER F. VALENTINE JO-ANNE G. PRICE DECEMBER 14, 2012 TABLE OF CONTENTS Page ARTICLE I SALE OF ASSETS 1 Section 1.1. Assets to be Sold 1 Section 1.2. Excluded Assets 2 ARTICLE II ASSUMPTION OF LIABILITIES 3 Section 2.1. L |
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| December 17, 2012 |
EX-99.2 5 a12-291893ex99d2.htm EX-99.2 Exhibit 99.2 N E W S B U L L E T I N FROM: RE: Headwaters Incorporated 10653 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: Sharon Madden Vice President of Investor Relations (801) 984-9400 ANALYST CONTACT: Tricia Ross Financial Profiles (916) 939-7285 FOR IMMEDIATE RELEASE HEADW |
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| December 17, 2012 |
Use these links to rapidly review the document Table of Contents TABLE OF CONTENTS Table of Contents Filed Pursuant to Rule 424(b)(5) Commission File No. |
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| December 17, 2012 |
SEVENTH AMENDMENT TO LOAN AND SECURITY AGREEMENT EX-4.9.7 3 a12-291893ex4d9d7.htm EX-4.9.7 Exhibit 4.9.7 SEVENTH AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS SEVENTH AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Amendment”), dated as of December 13, 2012 is entered into by and among the Lenders signatory hereto, BANK OF AMERICA, N.A., as Agent for the Lenders (in such capacity, “Agent”), HEADWATERS CONSTRUCTION MATERIALS, INC., a Utah corpora |
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| December 17, 2012 |
EX-99.1 4 a12-291893ex99d1.htm EX-99.1 Exhibit 99.1 N E W S B U L L E T I N FROM: RE: Headwaters Incorporated 10653 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: Sharon Madden Vice President of Investor Relations (801) 984-9400 ANALYST CONTACT: Tricia Ross Financial Profiles (916) 939-7285 FOR IMMEDIATE RELEASE HEADW |
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| December 17, 2012 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 14, 2012 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commission (I.R.S. Employer |
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| November 8, 2012 |
8-K 1 a12-2650918k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 3, 2012 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (C |
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| November 6, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 6, 2012 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commission (I.R.S. Employer |
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| November 6, 2012 |
Exhibit 99.1 N E W S B U L L E T I N RE: Headwaters Incorporated FROM: 10653 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: ANALYST CONTACT: Sharon Madden Tricia Ross Vice President of Investor Relations Financial Profiles (801) 984-9400 (916) 939-7285 FOR IMMEDIATE RELEASE HEADWATERS INCORPORATED ANNOUNCES RESULTS FO |
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| July 31, 2012 |
EX-99.1 2 a12-173271ex99d1.htm EX-99.1 Exhibit 99.1 NEWS BULLETIN FROM: RE: Headwaters Incorporated 10653 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: Sharon Madden Vice President of Investor Relations (801) 984-9400 ANALYST CONTACT: Tricia Ross Financial Profiles (916) 939-7285 FOR IMMEDIATE RELEASE HEADWATERS INCO |
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| July 31, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 31, 2012 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commission (I.R.S. Employer of |
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| June 11, 2012 |
Exhibit 4.11 HEADWATERS INCORPORATED as Issuer AND WELLS FARGO BANK, NATIONAL ASSOCIATION as Trustee Indenture Dated as of June 7, 2012 8.75% Convertible Senior Subordinated Notes due 2016 TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION Section 1.01 . Definitions 1 Section 1.02 . Compliance Certificates and Opinions 15 Section 1.03 . Form of Documents Deliv |
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| June 11, 2012 |
Exhibit 99.1 N E W S B U L L E T I N FROM: RE: Headwaters Incorporated 10653 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: Sharon Madden Vice President of Investor Relations (801) 984-9400 ANALYST CONTACT: Tricia Ross Financial Profiles (916) 939-7285 FOR IMMEDIATE RELEASE HEADWATERS INCORPORATED ANNOUNCES THE EXCHAN |
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| June 11, 2012 |
8-K 1 a12-1424418k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 7, 2012 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commis |
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| May 31, 2012 |
Headwaters Incorporated 10653 South River Front Parkway Suite 300 South Jordan, UT 84095 May 31, 2012 BY EDGAR SYSTEM United States Securities and Exchange Commission Washington, D. |
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| May 22, 2012 |
Pillsbury Winthrop Shaw Pittman LLP 50 Fremont Street | San Francisco, CA 94105-2228 | tel 415. |
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| May 9, 2012 |
8-K 1 a12-1167818k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 7, 2012 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commiss |
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| May 9, 2012 |
SIXTH AMENDMENT TO LOAN AND SECURITY AGREEMENT EX-4.9.6 2 a12-116781ex4d9d6.htm EX-4.9.6 Exhibit 4.9.6 SIXTH AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS SIXTH AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Amendment”), dated as of May 8, 2012 is entered into by and among the Lenders signatory hereto, BANK OF AMERICA, N.A., as Agent for the Lenders (in such capacity, “Agent”), HEADWATERS CONSTRUCTION MATERIALS, INC., a Utah corporation (“HCM |
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| May 4, 2012 |
EX-99.T3F 4 a12-113431ex99dt3f.htm EX-T3F Exhibit T3F CROSS-REFERENCE TABLE TIA Indenture Section Section 310 (a)(1) 10.10 (a)(2) 10.10 (a)(3) N.A. (a)(4) N.A. (a)(5) 10.10 (b) 10.09; 10.11 311 (a) 10.14 (b) 10.14 312 (a) 11.01 (b) 11.02; 14.01 (c) 11.02; 14.01 313 (a) 11.03 (b) 11.03 (c) 11.03 (d) 11.03 314 (a) 4.06; 4.08 (b) N.A. (c) 1.02; 4.08 (d) N.A. (e) 1.02 (f) N.A. 315 (a) 10.01 (b) 10.02 |
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| May 4, 2012 |
EX-99.T3C 2 a12-113431ex99dt3c.htm EX-T3C Exhibit T3C HEADWATERS INCORPORATED as Issuer AND WELLS FARGO BANK, NATIONAL ASSOCIATION as Trustee Indenture Dated as of [·], 2012 [·]% Convertible Senior Subordinated Notes due 2016 TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION Section 1.01 . Definitions 1 Section 1.02 . Compliance Certificates and Opinions 15 S |
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| May 4, 2012 |
EX-99.T3G 5 a12-113431ex99dt3g.htm EX-T3G Exhibit T3G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE o CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b) (2) WELLS FARGO BANK, NATIONAL ASSOCIATION (Exact name of trustee as specified |
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| May 4, 2012 |
EX-99.T3E 3 a12-113431ex99dt3e.htm EX-T3E Exhibit T3E EXCHANGE AGREEMENT This Agreement (this “Agreement”) is entered into as of , 2012 by and between Headwaters Incorporated, a Delaware corporation (the “Company”), and [ ], a [·] (the “Holder”), as the lawful owner of $ aggregate principal amount (the “Old Notes”) of the Company’s 2.50% Convertible Senior Subordinated Notes due 2014 (CUSIP 42210P |
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| May 4, 2012 |
T-3 1 a12-113431t3.htm T-3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-3 FOR APPLICATIONS FOR QUALIFICATION OF INDENTURES UNDER THE TRUST INDENTURE ACT OF 1939 HEADWATERS INCORPORATED (Name of Applicant) 10635 South River Front Parkway, Suite 300 South Jordan, Utah 84095 (Address of Principal Executive Office) SECURITIES TO BE ISSUED UNDER THE INDENTURE TO BE QUA |
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| May 1, 2012 |
S-8 1 a12-108261s8.htm S-8 As filed with the Securities and Exchange Commission on May 1, 2012. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT Under THE SECURITIES ACT OF 1933 HEADWATERS INCORPORATED (Exact name of registrant as specified in its charter) Delaware 87-0547337 (State or other jurisdiction of incorporation |
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| May 1, 2012 |
As filed with the Securities and Exchange Commission on May 1, 2012. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT Under THE SECURITIES ACT OF 1933 HEADWATERS INCORPORATED (Exact name of registrant as specified in its charter) Delaware 87-0547337 (State or other jurisdiction of incorporation or organization) (I.R.S. Em |
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| April 26, 2012 |
Results of Operations and Financial Condition, Financial Statements and Exhibits 8-K 1 a12-1054518k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 26, 2012 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Com |
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| April 26, 2012 |
Exhibit 99.1 N E W S B U L L E T I N FROM: RE: Headwaters Incorporated 10653 S. River Front Parkway, Suite 300 South Jordan, UT 84095 Phone: (801) 984-9400 NYSE: HW FOR FURTHER INFORMATION AT THE COMPANY: ANALYST CONTACT: Sharon Madden Tricia Ross Vice President of Investor Relations Financial Profiles (801) 984-9400 (916) 939-7285 FOR IMMEDIATE RELEASE HEADWATERS INCORPORATED ANNOUNCES RESULTS FO |
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| February 27, 2012 |
HEADWATERS INCORPORATED 2012 EXECUTIVE MASTER BONUS PLAN EX-99.22 2 a12-58781ex99d22.htm EX-99.22 Exhibit 99.22 HEADWATERS INCORPORATED 2012 EXECUTIVE MASTER BONUS PLAN 1. Purposes of the Plan. This Headwaters Incorporated 2012 Executive Master Bonus Plan sets forth the plan for payment of cash bonuses to those Participants designated for participation and is intended to increase stockholder value and the success of the Company by motivating Participant |
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| February 27, 2012 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 23, 2012 Headwaters Incorporated (Exact name of registrant as specified in its charter) Delaware 1-32459 87-0547337 (State or other jurisdiction (Commission (I.R.S. Employer |
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| February 27, 2012 |
HEADWATERS INCORPORATED 2010 INCENTIVE COMPENSATION PLAN AMENDMENT NO. 1 Effective 23 February 2012 EX-99.29.1 3 a12-58781ex99d29d1.htm EX-99.29.1 Exhibit 99.29.1 HEADWATERS INCORPORATED 2010 INCENTIVE COMPENSATION PLAN AMENDMENT NO. 1 Effective 23 February 2012 1. PURPOSE OF AMENDMENT NO. 1 This Amendment No. 1 to the Plan increases the number of shares available for issuance under the Plan by 2,700,000 shares as authorized by the Board and the stockholders of the Company. All capitalized terms |
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| February 17, 2012 |
EX-4.1 2 a2207389zex-41.htm EX-4.1 QuickLinks - Click here to rapidly navigate through this document Exhibit 4.1 Headwaters Incorporated as Issuer AND Wells Fargo Bank, National Association as Trustee Indenture Dated as of , 201 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION Section 101. Definitions 1 Section 102. Compliance Certificates and Opinions 7 Sec |
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| February 17, 2012 |
QuickLinks - Click here to rapidly navigate through this document Exhibit 25.1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE o CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b) (2) WELLS FARGO BANK, NATIONAL ASSOCIATION (Exact name |
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| February 17, 2012 |
Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents As filed with the Securities and Exchange Commission on February 17, 2012 Registration No. |
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| February 14, 2012 |
HW / Headwaters Inc. / DIMENSIONAL FUND ADVISORS LP - SCHEDULE 13G/A Passive Investment SC 13G/A 1 rrd400.htm SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* HEADWATERS INC (Name of Issuer) Common Stock (Title of Class of Securities) 42210P102 (CUSIP Number) December 31, 2011 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the |
