Filing Details
- Accession Number:
- 0001209191-13-051422
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-08 16:52:50
- Reporting Period:
- 2013-11-07
- Filing Date:
- 2013-11-08
- Accepted Time:
- 2013-11-08 16:52:50
- 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 |
|---|---|---|---|---|---|---|---|
| 1404237 | Jeffrey Larose | C/O Heartware International, Inc. 205 Newbury Street, Suite 101 Framingham MA 01701 | Chief Scientific Officer | No | Yes | 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 | Acquisiton | 2013-11-07 | 2,179 | $16.65 | 18,343 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-07 | 2,179 | $85.44 | 16,164 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2013-11-07 | 800 | $0.00 | 800 | $16.65 |
| Common Stock | Stock Option (right to buy) | Disposition | 2013-11-07 | 1,379 | $0.00 | 1,379 | $16.65 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 16,632 | 2007-04-27 | 2015-04-27 | No | 4 | M | Direct |
| 15,253 | 2008-04-27 | 2015-04-27 | No | 4 | M | Direct |
Footnotes
- The purchase price of US$16.65 has been converted from AU$17.50 at the spot rate on the date of the transaction.
- These shares were sold pursuant to a pre-arranged trading plan in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934.
- The exercise price of US$16.65 has been converted from AU$17.50 at the spot rate on the date of the transaction.
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