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Filing Details

Accession Number:
0001209191-12-030860
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-05-25 20:45:56
Reporting Period:
2012-05-23
Filing Date:
2012-05-25
Filing Date Changed:
2012-05-25
Accepted Time:
2012-05-25 21:45:56
SEC Url:
Form 4 Filing
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
1404477 Bain Robert Thomas C/o Heartware International, Inc.
205 Newbury St., Suite 101
Framingham MA 01701
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2012-05-23 957 $78.34 11,428 No 4 S Indirect see footnote
Common Stock Disposition 2012-05-25 428 $78.54 0 No 4 S Indirect see footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect see footnote
No 4 S Indirect see footnote
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 22,677 Direct
Common Stock 16,370 Indirect see footnote
Common Stock 5,000 Indirect see footnote
Footnotes
  1. The sale was executed in the form of the Company's Chess Depository Interests ("CDI's"), trading on the Australian Securities Exchange, and as such the number of shares sold has been determined based on the ratio of 1 share of common stock per 35 CDI's.
  2. The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $78.21 to $78.56. The sale prices have been converted from Australian dollars to the US dollar equivalent at the spot rate on the date of the transaction. 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.
  3. Held by Mr. Thomas' spouse, Mrs. Kyrenia Thomas.
  4. The sale price has been converted from Australian dollars to the US dollar equivalent at the spot rate on the date of the transaction.
  5. Robert Thomas as Trustee of the Tony McCullough Foundation.
  6. Robert Thomas as Trustee of the RB Thomas Superannuation Fund.
  7. Robert Thomas as Trustee of the Thomas Family Account.
X

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