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Filing Details

Accession Number:: 0001209191-12-054434
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2012-11-23 16:57:16
Reporting Period:: 2012-11-20

Filing Date:: 2012-11-23
Accepted Time:: 2012-11-23 16:57:16
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
1419219	James Schuermann	C/O Heartware International, Inc. 205 Newbury Street, Suite 101 Framingham MA 01701	Svp, Sales & Marketing	No	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2012-11-20	1,786	$0.00	8,317	No	4	M	Direct
Common Stock	Disposition	2012-11-21	47	$81.77	8,270	No	4	S	Direct
Common Stock	Disposition	2012-11-21	233	$82.89	8,037	No	4	S	Direct
Common Stock	Disposition	2012-11-21	144	$83.91	7,893	No	4	S	Direct
Common Stock	Disposition	2012-11-21	352	$84.85	7,541	No	4	S	Direct
Common Stock	Disposition	2012-11-21	16	$85.79	7,525	No	4	S	Direct
Common Stock	Disposition	2012-11-21	8	$87.00	7,517	No	4	S	Direct

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

Footnotes

On August 13, 2008 the reporting person was granted restricted stock units to purchase an aggregate of 7,142 shares of common stock. The award vested in three installments based on HeartWare's satisfaction of certain performance criteria. The performance criteria of the third installment of the award was met on November 20, 2012 resulting in the issuance of 1,786 shares of common stock to the reporting person.
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 payroll taxes related to the vesting of restricted stock units and receipt of the related shares reported on this Form 4.
The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $81.45 to $82.10. 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 $82.50 to $83.49. 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 $83.55 to $84.48. 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 $84.55 to $85.53. 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 $85.75 to $85.82. 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.