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
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 Explanation
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
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
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
  1. These shares were sold pursuant to a pre-arranged trading plan in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934.
  2. 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.
  3. The purchase price of US$38.41 has been converted from AU$38.50 at the spot rate on the date of the transaction.
  4. 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.
  5. 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.
  6. 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.
  7. 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.
  8. 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.
  9. The exercise price of US$38.41 has been converted from AU$38.50 at the spot rate on the date of the transaction.
  10. The option was exercisable in four equal installments on October 28, 2007, 2008, 2009 and 2010, respectively.
  11. Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.