Filing Details
- Accession Number:
- 0001209191-13-028140
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-05-22 17:49:06
- Reporting Period:
- 2013-05-20
- Filing Date:
- 2013-05-22
- Accepted Time:
- 2013-05-22 17:49:06
- 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 |
|---|---|---|---|---|---|---|---|
| 1404735 | Newell Denis Wade | C/O Heartware International, Inc. 205 Newbury Street, 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 | 2013-05-20 | 4,000 | $99.00 | 4,966 | No | 4 | S | Indirect | See footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | See footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Acquisiton | 2013-05-21 | 1,000 | $0.00 | 1,000 | $95.05 |
| Common Stock | Restricted Stock Unit | Acquisiton | 2013-05-21 | 1,000 | $0.00 | 1,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 4,000 | 2023-05-21 | No | 4 | A | Direct | |
| 2,250 | 2017-05-21 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,750 | Direct |
Footnotes
- Nickeli Holdings Pty. Limited as Trustee of the Wade Family Superannuation Fund.
- The stock options become exercisable in four equal installments on May 1, 2014, May 1, 2015, May 1, 2016 and May 1, 2017 subject to Dr. Wade's continuous service as a director of the Company through each date. In addition, the stock options will immediately vest upon the occurrence of a change in control (as defined in the 2012 Incentive Award Plan) or upon Dr. Wade's death prior to settlement.
- Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
- The restricted stock units become exercisable in four equal installments on May 1, 2014, May 1, 2015, May 1, 2016 and May 1, 2017 subject to Dr. Wade's continuous service as a director of the Company through each date. In addition, the restricted stock units will immediately vest upon the occurrence of a change in control (as defined in the 2012 Incentive Award Plan) or upon Dr. Wade's death prior to settlement.
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