Filing Details

Accession Number:
0001209191-11-062889
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-12-22 18:37:07
Reporting Period:
2011-12-20
Filing Date:
2011-12-22
Filing Date Changed:
2011-12-22
Accepted Time:
2011-12-22 18:37:07
Original Submission Date:
Issuer
Cik Name Symbol Sector (SIC) IRS No
1389072 Heartware International, Inc. HTWR Surgical & Medical Instruments & Apparatus (3841) 980498958
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1404237 Jeffrey Larose C/o Heartware International, Inc.
205 Newbury Street, Suite 101
Framingham MA 01701
Chief Scientifc Officer No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings
Common Stock Acquisiton 2011-12-20 2,800 $0.00 12,881
Common Stock Disposition 2011-12-20 812 $68.09 12,069
Common Stock Disposition 2011-12-20 260 $68.80 11,809
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted Stock Unit Disposition 2011-12-20 2,800 $0.00 2,800 $0.00
Common Stock Restricted Stock Unit Acquisiton 2011-12-21 17,500 $0.00 17,500 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
23,400 2011-12-20 2011-12-20 No 4 M Direct
40,900 2015-12-21 No 4 A Direct
Footnotes
  1. On December 20, 2010, the reporting person was granted restricted stock units to acquire 11,200 shares of HeartWare International common stock. The award vests in four equal annual installments commencing on December 20, 2011. On December 20, 2011, 2,800 shares of common stock were issued to the reporting person.
  2. These shares were sold pursuant to a pre-arranged trading plan in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934.
  3. The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $67.59 to $68.53. The reporting person has provided the issuer and will provide any security holder of the issuer or the SEC Staff, upon request, information regarding the number of shares sold at each price within the range.
  4. The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $68.65 to $69.30. The reporting person has provided the issuer and will provide any security holder of the issuer or the SEC Staff, upon request, information regarding the number of shares sold at each price within the range.
  5. Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
  6. The restricted stock units are exercisable in four equal annual installments commencing on the first anniversary of the date of grant subject to the reporting person's continued employment by the Company through each anniversary date. In addition, the restricted stock units will immediately vest upon a change in control (as defined in the 2008 Stock Incentive Plan).
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