Filing Details

Accession Number:
0001209191-12-058453
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-12-18 19:04:53
Reporting Period:
2012-12-14
Filing Date:
2012-12-18
Accepted Time:
2012-12-18 19:04:53
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 2012-12-14 74,922 $81.01 750,000 No 4 S Indirect see note
Common Stock Disposition 2012-12-14 9,000 $0.00 45,951 No 4 G Direct
Common Stock Acquisiton 2012-12-14 9,000 $0.00 9,000 No 4 G Indirect see note
Common Stock Disposition 2012-12-14 1,000 $81.10 8,000 No 4 S Indirect see note
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect see note
No 4 G Direct
No 4 G Indirect see note
No 4 S Indirect see note
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 6,004 Indirect see note
Footnotes
  1. The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $81.00 to $81.13. 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.
  2. 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.
  3. Gift for no consideration to a charitable foundation managed by the reporting person.
  4. Gift for no consideration received by a charitable foundation managed by the reporting person.
  5. Represents shares held by Tortoise Foundation.
  6. Sale by a charitable foundation managed by the reporting person.
  7. Represents shares held by Dr. Harrison's spouse, Ms. Ariane Harrison.