Filing Details

Accession Number:
0001209191-13-058574
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-12-24 15:07:27
Reporting Period:
2013-12-20
Filing Date:
2013-12-24
Accepted Time:
2013-12-24 15:07:27
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
1434007 R David Hathaway C/O Heartware International, Inc.
205 Newbury Street, Suite 101
Framingham MA 01701
Chief Medical 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 2013-12-20 1,263 $0.00 1,263 No 4 M Direct
Common Stock Disposition 2013-12-20 489 $91.56 774 No 4 S Direct
Common Stock Disposition 2013-12-20 120 $92.32 654 No 4 S Direct
Common Stock Acquisiton 2013-12-21 1,250 $0.00 1,904 No 4 M Direct
Common Stock Disposition 2013-12-23 602 $91.03 1,302 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S Direct
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 Restricted Stock Unit Disposition 2013-12-20 1,263 $0.00 1,263 $0.00
Common Stock Restricted Stock Unit Disposition 2013-12-21 1,250 $0.00 1,250 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
5,012 2013-12-20 2013-12-20 No 4 M Direct
3,762 2013-12-21 2013-12-21 No 4 M Direct
Footnotes
  1. On December 20, 2010, the reporting person was granted restricted stock units to acquire 5,050 shares of HeartWare International common stock. The award vests in four equal annual installments commencing on December 20, 2011. On December 20, 2013, 1,263 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. The sale proceeds were utilized to pay all payroll taxes related to the vesting of restricted stock units and receipt of the related shares reported on this Form 4.
  3. The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $91.29 to $91.86. 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 $92.30 to $92.32. 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. On December 21, 2011, the reporting person was granted restricted stock units to acquire 5,000 shares of HeartWare International common stock. The award vests in four equal annual installments commencing on December 21, 2012. On December 21, 2013, 1,250 shares of common stock were issued to the reporting person.
  6. The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $90.50 to $91.38. 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.
  7. Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.