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Filing Details

Accession Number:: 0001209191-13-028263
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-05-22 20:33:40
Reporting Period:: 2013-05-20

Filing Date:: 2013-05-22
Accepted Time:: 2013-05-22 20:33:40
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

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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	1,928	$97.66	11,582	No	4	S	Direct
Common Stock	Disposition	2013-05-20	572	$98.34	11,010	No	4	S	Direct
Common Stock	Disposition	2013-05-20	2,500	$98.73	8,870	No	4	S	Indirect	See footnote
Common Stock	Disposition	2013-05-21	200	$97.69	8,670	No	4	S	Indirect	See footnote
Common Stock	Disposition	2013-05-20	714	$98.35	10,000	No	4	S	Indirect	See footnote
Common Stock	Disposition	2013-05-20	715	$97.34	9,285	No	4	S	Indirect	See footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Direct
No	4	S	Direct
No	4	S	Indirect	See footnote
No	4	S	Indirect	See footnote
No	4	S	Indirect	See footnote
No	4	S	Indirect	See footnote

Reported Derivative Transactions

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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	5,000	Indirect	See footnote

Footnotes

The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $97.18 to $97.97. 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.
The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $98.21 to $98.52. 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.
Robert Thomas as Trustee of the RB Thomas Superannuation Fund.
The sale was executed in the form of the Company's Chess Depository Interests ("CDI's"), trading on the Australian Securities Exchange. The number of shares sold has been determined based on the ratio of 1 share of common stock per 35 CDI's.
The sale price have been converted from Australian dollars to the U.S. dollar equivalent at the spot rate on the date of the transaction.
Held by Mr. Thomas' spouse, Mrs. Kyrenia Thomas.
The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $97.33 to $97.67. The sale prices have been converted from Australian dollars to the U.S. 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.
Robert Thomas as Trustee of the Thomas Family Account.
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 Mr. Thomas' 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 Mr. Thomas' 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 Mr. Thomas' 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 Mr. Thomas' death prior to settlement.