Filing Details

Accession Number:
0001209191-14-002244
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-01-07 17:06:29
Reporting Period:
2014-01-06
Filing Date:
2014-01-07
Accepted Time:
2014-01-07 17:06:29
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
1404955 Loring Seth Harrison C/O Apple Tree Partners
821 Broadway, 5Th Floor
New York NY 10003
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 2014-01-06 7,909 $99.29 132,393 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 16,186 Indirect See footnote
Common Stock 6,750 Indirect See footnote
Footnotes
  1. These shares were sold pursuant to a pre-arranged trading plan in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934.
  2. The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $99.19 to $99.50. 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.
  3. Represents shares held by Dr. Harrison's spouse, Ms. Ariane Harrison.
  4. Represents shares held by Tortoise Foundation, a charitable foundation managed by the reporting person.