Filing Details

Accession Number:
0001209191-14-001086
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-01-03 17:00:43
Reporting Period:
2014-01-02
Filing Date:
2014-01-03
Accepted Time:
2014-01-03 17:00:43
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 2014-01-02 2,179 $15.62 22,446 No 4 M Direct
Common Stock Disposition 2014-01-02 1,572 $92.65 20,874 No 4 S Direct
Common Stock Disposition 2014-01-02 607 $93.27 20,267 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
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (right to buy) Disposition 2014-01-02 1,900 $0.00 1,900 $15.62
Common Stock Stock Option (right to buy) Disposition 2014-01-02 279 $0.00 279 $15.62
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
11,174 2008-04-27 2015-04-27 No 4 M Direct
10,895 2009-04-27 2015-04-27 No 4 M Direct
Footnotes
  1. The purchase price of US$15.62 has been converted from AU$17.50 at the spot rate on the date of the transaction.
  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.
  3. The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $92.10 to $93.04. 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 $93.10 to $93.88. 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. The exercise price of US$15.62 has been converted from AU$17.50 at the spot rate on the date of the transaction.