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Filing Details

Accession Number:: 0001209191-11-062618
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2011-12-21 18:23:46
Reporting Period:: 2011-12-19

Filing Date:: 2011-12-21
Accepted Time:: 2011-12-21 18:23:46
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
1404254	David Mcintyre	C/O Heartware International, Inc. 205 Newbury Street, Suite 101 Framingham MA 01701	Cfo & Coo	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Disposition	2011-12-19	1,623	$69.12	0	No	4	S	Direct
Common Stock	Acquisiton	2011-12-19	5,714	$38.41	5,714	No	4	M	Direct
Common Stock	Disposition	2011-12-19	4,114	$68.08	1,600	No	4	S	Direct
Common Stock	Disposition	2011-12-19	1,600	$68.93	0	No	4	S	Direct
Common Stock	Acquisiton	2011-12-20	3,125	$0.00	3,125	No	4	M	Direct
Common Stock	Disposition	2011-12-20	2,701	$68.09	424	No	4	S	Direct
Common Stock	Disposition	2011-12-20	424	$68.80	0	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (right to buy)	Disposition	2011-12-19	5,714	$0.00	5,714	$38.41
Common Stock	Restricted Stock Unit	Disposition	2011-12-20	3,125	$0.00	3,125	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2016-10-28	No	4	M	Direct
9,375	2011-12-20	2011-12-20	No	4	M	Direct

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Restricted Stock Unit	$0.00	2012-09-16	2012-09-16	24,166	24,166	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2012-09-16	24,166	24,166	Direct

Footnotes

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 price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $68.71 to $69.68. 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.
The purchase price of US$38.41 has been converted from AU$38.50 at the spot rate on the date of the transaction.
The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $67.59 to $68.58. 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.
The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $68.61 to $69.31. 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.
On December 20, 2010, the reporting person was granted restricted stock units to acquire 12,500 shares of HeartWare International common stock. The award vests in four equal annual installments commencing on December 20, 2011. On December 20, 2011, 3,125 shares of common stock were issued to the reporting person.
The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $67.59 to $68.53. 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.
The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $68.65 to $69.30. 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.
The exercise price of US$38.41 has been converted from AU$38.50 at the spot rate on the date of the transaction.
The option was exercisable in four equal installments on October 28, 2007, 2008, 2009 and 2010, respectively.
Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.