Home > Insider Trading > Filing (0001209191-13-028269)

Filing Details

Accession Number:: 0001209191-13-028269
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-05-22 20:41:26
Reporting Period:: 2013-05-20

Filing Date:: 2013-05-22
Accepted Time:: 2013-05-22 20:41:26
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
1434007	R David Hathaway	C/O Heartware International, Inc. 205 Newbury Street, Suite 101 Framingham MA 01701	Chief Medical Officer	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	Acquisiton	2013-05-20	10,000	$19.40	11,443	No	4	M	Direct
Common Stock	Disposition	2013-05-20	8,200	$97.63	3,243	No	4	S	Direct
Common Stock	Disposition	2013-05-20	1,800	$98.15	1,443	No	4	S	Direct
Common Stock	Acquisiton	2013-05-21	17,140	$19.51	18,583	No	4	M	Direct
Common Stock	Disposition	2013-05-21	12,842	$95.46	5,741	No	4	S	Direct
Common Stock	Disposition	2013-05-21	2,398	$96.16	3,343	No	4	S	Direct
Common Stock	Disposition	2013-05-21	1,900	$97.31	1,443	No	4	S	Direct
Common Stock	Acquisiton	2013-05-22	2,400	$19.55	3,843	No	4	M	Direct
Common Stock	Disposition	2013-05-22	2,400	$95.15	1,443	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	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	M	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	2013-05-20	9,285	$0.00	9,285	$19.40
Common Stock	Stock Option (right to buy)	Disposition	2013-05-20	715	$0.00	715	$19.40
Common Stock	Stock Option (right to buy)	Disposition	2013-05-21	8,570	$0.00	8,570	$19.51
Common Stock	Stock Option (right to buy)	Disposition	2013-05-21	8,570	$0.00	8,570	$19.51
Common Stock	Stock Option (right to buy)	Disposition	2013-05-22	715	$0.00	715	$19.55
Common Stock	Stock Option (right to buy)	Disposition	2013-05-22	1,685	$0.00	1,685	$19.55

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
27,857	2009-08-13	2018-08-13	No	4	M	Direct
27,142	2010-08-13	2018-08-13	No	4	M	Direct
18,572	2010-08-13	2018-08-13	No	4	M	Direct
10,002	2011-08-13	2018-08-13	No	4	M	Direct
9,287	2011-08-13	2018-08-13	No	4	M	Direct
7,602	2012-08-13	2018-08-13	No	4	M	Direct

Footnotes

The purchase price of US$19.40 has been converted from AU$19.95 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 $97.01 to $97.98. 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 $98.02 to $98.28. 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$19.51 has been converted from AU$19.95 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 $95.00 to $95.99. 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 $96.00 to $96.62. 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 $97.10 to $97.63. 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$19.55 has been converted from AU$19.95 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 $95.00 to $95.55. 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$19.40 has been converted from AU$19.95 at the spot rate on the date of the transaction.
The exercise price of US$19.51 has been converted from AU$19.95 at the spot rate on the date of the transaction.
The exercise price of US$19.55 has been converted from AU$19.95 at the spot rate on the date of the transaction.