Filing Details

Accession Number:
0001209191-14-060596
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-10-01 17:18:24
Reporting Period:
2014-09-30
Filing Date:
2014-10-01
Accepted Time:
2014-10-01 17:18:24
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
1615034 Mark Strong C/O Heartware International, Inc.
500 Old Connecticut Path
Framingham MA 01701
Senior Vp, R&D And Quality 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 2014-09-30 3,500 $0.00 3,500 No 4 M Direct
Common Stock Disposition 2014-10-01 1,163 $76.96 2,337 No 4 S Direct
Common Stock Disposition 2014-10-01 1,462 $76.96 875 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 Restricted Stock Unit Disposition 2014-09-30 3,500 $0.00 3,500 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
22,606 2014-09-30 2014-09-30 No 4 M Direct
Footnotes
  1. On December 9, 2013, the reporting person was granted restricted stock units to acquire 14,000 shares of HeartWare International common stock. The award vests in four equal installments on September 30, 2014, September 30, 2015, September 30, 2016 and September 30, 2017. On September 30, 2014 (the anniversary of the reporting person's date of hire), 3,500 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 taxes related to the vesting of restricted stock units and receipt of the related shares reported on this Form 4.
  3. These shares were sold pursuant to a pre-arranged trading plan in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934.
  4. Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.