401k Plan data: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN plan

HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 401k Plan overview

Plan Name	HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN
Plan identification number	001

HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

HEADWATERS INCORPORATED has sponsored the creation of one or more 401k plans.

Company Name: HEADWATERS INCORPORATED

Employer identification number (EIN): 870547337

NAIC Classification: 212390
NAIC Description: Other Nonmetallic Mineral Mining and Quarrying

Additional information about HEADWATERS INCORPORATED

Jurisdiction of Incorporation: Texas Secretary of State

Incorporation Date: 1994-03-10

Company Identification Number: 0130460900

Legal Registered Office Address: 5555 FELLOWSHIP LN

SPRING
United States of America (USA)
77379

More information about HEADWATERS INCORPORATED

Form 5500 Filing Information

Submission information for form 5500 for 401k plan HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2017-01-01 TOMMY BALAS
001 2016-01-01 HARVEY J. NORTH
001 2015-01-01 HARVEY J. NORTH
001 2014-01-01 HARVEY J. NORTH
001 2013-01-01 HARVEY J. NORTH
001 2012-01-01 HARVEY J. NORTH
001 2011-01-01 HARVEY J. NORTH
001 2010-01-01 HARVEY J. NORTH HARVEY J. NORTH 2011-10-06
001 2009-01-01 HARVEY J. NORTH HARVEY J. NORTH 2010-09-16

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2017-01-01	TOMMY BALAS
001	2016-01-01	HARVEY J. NORTH
001	2015-01-01	HARVEY J. NORTH
001	2014-01-01	HARVEY J. NORTH
001	2013-01-01	HARVEY J. NORTH
001	2012-01-01	HARVEY J. NORTH
001	2011-01-01	HARVEY J. NORTH
001	2010-01-01	HARVEY J. NORTH	HARVEY J. NORTH	2011-10-06
001	2009-01-01	HARVEY J. NORTH	HARVEY J. NORTH	2010-09-16

Plan Statistics for HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN

401k plan membership statisitcs for HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN

Measure Date Value
2017: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 3,533
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 3,172
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 291
Total of all active and inactive participants 2017-01-01 3,463
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 3,463
Number of participants with account balances 2017-01-01 1,595
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 2,810
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 3,318
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 215
Total of all active and inactive participants 2016-01-01 3,533
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 3,533
Number of participants with account balances 2016-01-01 1,718
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 2,649
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 2,613
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 162
Total of all active and inactive participants 2015-01-01 2,775
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 2,775
Number of participants with account balances 2015-01-01 1,475
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 2,333
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 2,452
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 197
Total of all active and inactive participants 2014-01-01 2,649
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 2,649
Number of participants with account balances 2014-01-01 1,432
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 2,394
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 2,132
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 200
Total of all active and inactive participants 2013-01-01 2,332
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 2,332
Number of participants with account balances 2013-01-01 1,325
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 2
2012: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 2,494
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 2,122
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 215
Total of all active and inactive participants 2012-01-01 2,337
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 2,337
Number of participants with account balances 2012-01-01 1,383
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 65
2011: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 2,803
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 2,209
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 283
Total of all active and inactive participants 2011-01-01 2,492
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 2,492
Number of participants with account balances 2011-01-01 1,413
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 37
2010: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 2,873
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 2,543
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 256
Total of all active and inactive participants 2010-01-01 2,799
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 2,799
Number of participants with account balances 2010-01-01 1,482
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 27
2009: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 4,160
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 2,574
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 297
Total of all active and inactive participants 2009-01-01 2,871
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 2,871
Number of participants with account balances 2009-01-01 1,660
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 61

Measure	Date	Value
2017: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	3,533
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	3,172
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	291
Total of all active and inactive participants	2017-01-01	3,463
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	3,463
Number of participants with account balances	2017-01-01	1,595
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	2,810
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	3,318
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	215
Total of all active and inactive participants	2016-01-01	3,533
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	3,533
Number of participants with account balances	2016-01-01	1,718
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	2,649
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	2,613
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	162
Total of all active and inactive participants	2015-01-01	2,775
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	2,775
Number of participants with account balances	2015-01-01	1,475
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	2,333
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	2,452
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	197
Total of all active and inactive participants	2014-01-01	2,649
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	2,649
Number of participants with account balances	2014-01-01	1,432
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	2,394
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	2,132
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	200
Total of all active and inactive participants	2013-01-01	2,332
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	2,332
Number of participants with account balances	2013-01-01	1,325
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	2
2012: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	2,494
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	2,122
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	215
Total of all active and inactive participants	2012-01-01	2,337
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	2,337
Number of participants with account balances	2012-01-01	1,383
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	65
2011: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	2,803
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	2,209
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	283
Total of all active and inactive participants	2011-01-01	2,492
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	2,492
Number of participants with account balances	2011-01-01	1,413
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	37
2010: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	2,873
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	2,543
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	256
Total of all active and inactive participants	2010-01-01	2,799
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	2,799
Number of participants with account balances	2010-01-01	1,482
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	27
2009: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	4,160
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	2,574
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	297
Total of all active and inactive participants	2009-01-01	2,871
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	2,871
Number of participants with account balances	2009-01-01	1,660
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	61

Financial Data on HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN

Measure	Date	Value
2017 : HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$29,297,666
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$18,324,754
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$18,091,460
Value of total corrective distributions	2017-12-31	$19,138
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$11,888,446
Value of total assets at end of year	2017-12-31	$107,947,193
Value of total assets at beginning of year	2017-12-31	$96,974,281
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$214,156
Total interest from all sources	2017-12-31	$108,600
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$3,641,010
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$3,641,010
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$2,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$7,408,431
Participant contributions at end of year	2017-12-31	$2,495,498
Participant contributions at beginning of year	2017-12-31	$2,601,446
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$516,422
Other income not declared elsewhere	2017-12-31	$246,700
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$10,972,912
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$107,947,193
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$96,974,281
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Investment advisory and management fees	2017-12-31	$154,166
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$97,311,680
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$84,112,502
Interest on participant loans	2017-12-31	$108,600
Value of interest in common/collective trusts at end of year	2017-12-31	$8,140,015
Value of interest in common/collective trusts at beginning of year	2017-12-31	$10,260,333
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$13,058,156
Net investment gain or loss from common/collective trusts	2017-12-31	$354,754
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$3,963,593
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$18,091,460
Contract administrator fees	2017-12-31	$59,990
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	TRAVELLER & COMPANY, LLC.
Accountancy firm EIN	2017-12-31	870668060
2016 : HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$17,635,998
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$6,368,431
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$6,167,223
Value of total corrective distributions	2016-12-31	$6,976
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$10,909,792
Value of total assets at end of year	2016-12-31	$96,974,281
Value of total assets at beginning of year	2016-12-31	$85,706,714
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$194,232
Total interest from all sources	2016-12-31	$96,118
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$2,739,943
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$2,739,943
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$2,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$6,287,612
Participant contributions at end of year	2016-12-31	$2,601,446
Participant contributions at beginning of year	2016-12-31	$2,298,825
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$1,164,868
Other income not declared elsewhere	2016-12-31	$205,681
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$11,267,567
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$96,974,281
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$85,706,714
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Investment advisory and management fees	2016-12-31	$131,738
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$84,112,502
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$74,353,040
Interest on participant loans	2016-12-31	$96,118
Value of interest in common/collective trusts at end of year	2016-12-31	$10,260,333
Value of interest in common/collective trusts at beginning of year	2016-12-31	$9,054,849
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$3,491,505
Net investment gain or loss from common/collective trusts	2016-12-31	$192,959
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$3,457,312
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$6,167,223
Contract administrator fees	2016-12-31	$62,494
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	TRAVELLER & COMPANY, LLC.
Accountancy firm EIN	2016-12-31	870668060
2015 : HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$7,753,292
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$6,599,597
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$6,399,176
Value of total corrective distributions	2015-12-31	$23,318
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$8,833,226
Value of total assets at end of year	2015-12-31	$85,706,714
Value of total assets at beginning of year	2015-12-31	$84,553,019
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$177,103
Total interest from all sources	2015-12-31	$97,819
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$4,059,783
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$4,059,783
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$2,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$5,436,730
Participant contributions at end of year	2015-12-31	$2,298,825
Participant contributions at beginning of year	2015-12-31	$2,380,643
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$428,030
Other income not declared elsewhere	2015-12-31	$207,253
Administrative expenses (other) incurred	2015-12-31	$748
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$1,153,695
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$85,706,714
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$84,553,019
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Investment advisory and management fees	2015-12-31	$124,737
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$74,353,040
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$73,581,298
Interest on participant loans	2015-12-31	$97,819
Value of interest in common/collective trusts at end of year	2015-12-31	$9,054,849
Value of interest in common/collective trusts at beginning of year	2015-12-31	$8,591,078
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-5,616,184
Net investment gain or loss from common/collective trusts	2015-12-31	$171,395
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$2,968,466
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$6,399,176
Contract administrator fees	2015-12-31	$51,618
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	TRAVELLER & COMPANY, LLC.
Accountancy firm EIN	2015-12-31	870668060
2014 : HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$13,308,909
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$6,859,695
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$6,691,816
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$9,187,789
Value of total assets at end of year	2014-12-31	$84,553,019
Value of total assets at beginning of year	2014-12-31	$78,103,805
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$167,879
Total interest from all sources	2014-12-31	$101,135
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$4,182,769
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$4,182,769
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$2,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$4,585,014
Participant contributions at end of year	2014-12-31	$2,380,643
Participant contributions at beginning of year	2014-12-31	$2,392,247
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$2,025,378
Other income not declared elsewhere	2014-12-31	$210,829
Administrative expenses (other) incurred	2014-12-31	$945
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$6,449,214
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$84,553,019
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$78,103,805
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Investment advisory and management fees	2014-12-31	$116,892
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$73,581,298
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$66,275,910
Interest on participant loans	2014-12-31	$101,135
Value of interest in common/collective trusts at end of year	2014-12-31	$8,591,078
Value of interest in common/collective trusts at beginning of year	2014-12-31	$9,435,648
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$-515,984
Net investment gain or loss from common/collective trusts	2014-12-31	$142,371
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$2,577,397
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$6,691,816
Contract administrator fees	2014-12-31	$50,042
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	TRAVELLER & COMPANY, LLC.
Accountancy firm EIN	2014-12-31	870668060
2013 : HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$20,807,114
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$7,129,854
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$6,646,858
Value of total corrective distributions	2013-12-31	$303,165
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$7,185,410
Value of total assets at end of year	2013-12-31	$78,103,805
Value of total assets at beginning of year	2013-12-31	$64,426,545
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$179,831
Total interest from all sources	2013-12-31	$107,956
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$2,778,502
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$2,778,502
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$2,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$4,123,519
Participant contributions at end of year	2013-12-31	$2,392,247
Participant contributions at beginning of year	2013-12-31	$2,658,919
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$716,157
Other income not declared elsewhere	2013-12-31	$195,835
Administrative expenses (other) incurred	2013-12-31	$120
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$13,677,260
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$78,103,805
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$64,426,545
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Investment advisory and management fees	2013-12-31	$137,359
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$66,275,910
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$51,912,477
Interest on participant loans	2013-12-31	$107,956
Value of interest in common/collective trusts at end of year	2013-12-31	$9,435,648
Value of interest in common/collective trusts at beginning of year	2013-12-31	$9,855,149
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$10,401,241
Net investment gain or loss from common/collective trusts	2013-12-31	$138,170
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$2,345,734
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$6,646,858
Contract administrator fees	2013-12-31	$42,352
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	TRAVELLER & COMPANY, LLC.
Accountancy firm EIN	2013-12-31	870668060
2012 : HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$11,523,870
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$6,686,661
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$6,425,674
Value of total corrective distributions	2012-12-31	$92,985
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$4,655,543
Value of total assets at end of year	2012-12-31	$64,426,545
Value of total assets at beginning of year	2012-12-31	$59,589,336
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$168,002
Total interest from all sources	2012-12-31	$132,292
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$1,173,207
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$1,173,207
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$2,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$3,396,551
Participant contributions at end of year	2012-12-31	$2,658,919
Participant contributions at beginning of year	2012-12-31	$3,119,780
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$209,098
Administrative expenses (other) incurred	2012-12-31	$293
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$4,837,209
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$64,426,545
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$59,589,336
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Investment advisory and management fees	2012-12-31	$126,096
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$51,912,477
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$46,414,438
Interest on participant loans	2012-12-31	$132,292
Value of interest in common/collective trusts at end of year	2012-12-31	$9,855,149
Value of interest in common/collective trusts at beginning of year	2012-12-31	$10,055,118
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$5,219,073
Net investment gain or loss from common/collective trusts	2012-12-31	$343,755
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$1,049,894
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$6,425,674
Contract administrator fees	2012-12-31	$41,613
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	TRAVELLER & COMPANY, LLC.
Accountancy firm EIN	2012-12-31	870668060
2011 : HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$1,803,617
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$6,196,635
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$5,919,009
Value of total corrective distributions	2011-12-31	$102,646
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$2,758,091
Value of total assets at end of year	2011-12-31	$59,589,336
Value of total assets at beginning of year	2011-12-31	$63,982,354
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$174,980
Total interest from all sources	2011-12-31	$131,819
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$1,266,853
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$1,266,853
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$2,725,354
Participant contributions at end of year	2011-12-31	$3,119,780
Participant contributions at beginning of year	2011-12-31	$2,757,091
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$32,737
Administrative expenses (other) incurred	2011-12-31	$604
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-4,393,018
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$59,589,336
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$63,982,354
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Investment advisory and management fees	2011-12-31	$127,087
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$46,414,438
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$51,123,812
Interest on participant loans	2011-12-31	$131,819
Value of interest in common/collective trusts at end of year	2011-12-31	$10,055,118
Value of interest in common/collective trusts at beginning of year	2011-12-31	$10,101,451
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-2,813,891
Net investment gain or loss from common/collective trusts	2011-12-31	$460,745
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$5,919,009
Contract administrator fees	2011-12-31	$47,289
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	TRAVELLER & COMPANY, LLC.
Accountancy firm EIN	2011-12-31	870668060
2010 : HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$9,573,009
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$4,470,606
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$4,174,719
Value of total corrective distributions	2010-12-31	$124,174
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$3,406,347
Value of total assets at end of year	2010-12-31	$63,982,354
Value of total assets at beginning of year	2010-12-31	$58,879,951
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$171,713
Total interest from all sources	2010-12-31	$152,931
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$1,247,130
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$1,247,130
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$2,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$3,135,307
Participant contributions at end of year	2010-12-31	$2,757,091
Participant contributions at beginning of year	2010-12-31	$2,740,050
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$271,040
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$5,102,403
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$63,982,354
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$58,879,951
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Investment advisory and management fees	2010-12-31	$121,852
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$51,123,812
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$46,271,875
Interest on participant loans	2010-12-31	$152,931
Value of interest in common/collective trusts at end of year	2010-12-31	$10,101,451
Value of interest in common/collective trusts at beginning of year	2010-12-31	$9,868,026
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$4,345,517
Net investment gain or loss from common/collective trusts	2010-12-31	$421,084
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$4,174,719
Contract administrator fees	2010-12-31	$49,861
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	TRAVELLER & COMPANY, LLC.
Accountancy firm EIN	2010-12-31	870668060
2009 : HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN

2017: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Potentially related plans

HEADWATERS INCORPORATED 401(K) SAVINGS & INVESTMENT PLAN [EIN = 953304692]

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Company Name:	HEADWATERS INCORPORATED
Employer identification number (EIN):	870547337
NAIC Classification:	212390
NAIC Description:	Other Nonmetallic Mineral Mining and Quarrying

Jurisdiction of Incorporation:	Texas Secretary of State
Incorporation Date:	1994-03-10
Company Identification Number:	0130460900
Legal Registered Office Address:	5555 FELLOWSHIP LN SPRING United States of America (USA) 77379