Filing Details

Accession Number:
0001209191-14-009210
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-02-11 18:07:18
Reporting Period:
2014-02-07
Filing Date:
2014-02-11
Accepted Time:
2014-02-11 18:07:18
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
1517214 J Lawrence Knopf C/O Heartware International, Inc.
205 Newbury St., Suite 101
Framingham MA 01701
General Counsel 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 2014-02-07 1,400 $0.00 4,927 No 4 M Direct
Common Stock Disposition 2014-02-10 714 $94.61 4,213 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 Restricted Stock Unit Disposition 2014-02-07 1,400 $0.00 1,400 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
17,700 2014-02-07 2014-02-07 No 4 M Direct
Footnotes
  1. On February 7, 2013, the reporting person was granted restricted stock units to acquire 5,600 shares of HeartWare International common stock. The award vests in four equal annual installments commencing on February 7, 2014. On February 7, 2014, 1,400 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 $94.36 to $94.71. 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. Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.