Filing Details
- Accession Number:
- 0001209191-12-038196
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-07-16 19:00:55
- Reporting Period:
- 2012-07-12
- Filing Date:
- 2012-07-16
- Accepted Time:
- 2012-07-16 19:00:55
- 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 |
|---|---|---|---|---|---|---|---|
| 1404955 | Loring Seth Harrison | C/O Apple Tree Partners 821 Broadway, 5Th Floor New York NY 10003 | Yes | No | 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 | 2012-07-12 | 175 | $90.00 | 80,690 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2012-07-13 | 8,279 | $90.00 | 72,411 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2012-07-16 | 17,460 | $90.21 | 54,951 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2012-07-12 | 19 | $90.00 | 8,865 | No | 4 | S | Indirect | see note |
| Common Stock | Disposition | 2012-07-13 | 920 | $90.00 | 7,945 | No | 4 | S | Indirect | see note |
| Common Stock | Disposition | 2012-07-16 | 1,941 | $90.21 | 6,004 | No | 4 | S | Indirect | see note |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Indirect | see note |
| No | 4 | S | Indirect | see note |
| No | 4 | S | Indirect | see note |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,073,961 | Indirect | see note |
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 $90.00 to $90.77. 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.
- Represents shares held by Dr. Harrison's spouse, Ms. Ariane Harrison.
- Represents shares held by Apple Tree Partners I, L.P. Dr. Harrison is the Managing Member of the General Partner of Apple Tree Partners I, L.P.
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