Filing Details
- Accession Number:
- 0001209191-14-019933
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-03-12 17:24:34
- Reporting Period:
- 2014-03-10
- Filing Date:
- 2014-03-12
- Accepted Time:
- 2014-03-12 17:24:34
- 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 | 2014-03-10 | 299 | $18.08 | 1,601 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-03-10 | 1,601 | $95.00 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-03-11 | 2,812 | $18.02 | 2,812 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-03-11 | 2,812 | $95.00 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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 | Stock Option (right to buy) | Disposition | 2014-03-10 | 299 | $0.00 | 299 | $18.08 |
| Common Stock | Stock Option (right to buy) | Disposition | 2014-03-11 | 2,812 | $0.00 | 2,812 | $18.02 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 2,812 | 2012-08-13 | 2018-08-13 | No | 4 | M | Direct |
| 0 | 2012-08-13 | 2018-08-13 | No | 4 | M | Direct |
Footnotes
- The purchase price of US$18.08 has been converted from AU$19.95 at the spot rate on the date of the transaction.
- The purchase price of US$18.02 has been converted from AU$19.95 at the spot rate on the date of the transaction.
- The exercise price of US$18.08 has been converted from AU$19.95 at the spot rate on the date of the transaction.
- The exercise price of US$18.02 has been converted from AU$19.95 at the spot rate on the date of the transaction.
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