Filing Details

Accession Number:
0001209191-11-012530
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-02-24 17:53:05
Reporting Period:
2011-02-22
Filing Date:
2011-02-24
Accepted Time:
2011-02-24 17:53:05
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
1419222 Ramon Paz C/O Heartware International, Inc.
205 Newbury Street, Suite 101
Framingham MA 01701
Vp, Quality Assurance 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 2011-02-22 1,429 $0.00 1,429 No 4 M Direct
Common Stock Disposition 2011-02-22 557 $87.70 872 No 4 S Direct
Common Stock Disposition 2011-02-22 872 $87.70 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 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted Stock Unit Disposition 2011-02-22 1,429 $0.00 1,429 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
19,666 2011-02-22 2018-08-13 No 4 M Direct
Footnotes
  1. On August 13, 2008, the reporting person was granted restricted stock units to purchase an aggregate of 5,715 shares of common stock. The award vests in three installments based on HeartWare's satisfication of certain performance criteria. The second installment of the award vested on February 22, 2011 and 1,429 shares of common stock were automatically 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 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 $86.35 to $88.86. 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. These shares were sold pursuant to a pre-arranged trading plan in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934.
  5. Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.