Filing Details
- Accession Number:
- 0001209191-10-024593
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-04-30 13:00:00
- Reporting Period:
- 2010-04-28
- Filing Date:
- 2010-04-30
- Accepted Time:
- 2010-04-30 17:38:21
- 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 | Acquisiton | 2010-04-28 | 3,000 | $24.19 | 3,781 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-04-28 | 3,000 | $50.08 | 781 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2010-04-29 | 8,624 | $24.19 | 9,405 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-04-29 | 8,624 | $49.97 | 781 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2010-04-30 | 10,210 | $24.33 | 10,991 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-04-30 | 10,210 | $54.30 | 781 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | 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) | Acquisiton | 2010-04-28 | 3,000 | $0.00 | 3,000 | $24.19 |
| Common Stock | Stock Option (right to buy) | Acquisiton | 2010-04-29 | 7,917 | $0.00 | 7,917 | $24.19 |
| Common Stock | Stock Option (right to buy) | Acquisiton | 2010-04-29 | 707 | $0.00 | 707 | $24.19 |
| Common Stock | Stock Option (right to buy) | Acquisiton | 2010-04-30 | 10,210 | $0.00 | 10,210 | $24.33 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 24,548 | 2007-01-31 | 2012-11-30 | No | 4 | M | Direct |
| 16,631 | 2007-01-31 | 2012-11-30 | No | 4 | M | Direct |
| 15,924 | 2008-01-31 | 2012-11-30 | No | 4 | M | Direct |
| 5,714 | 2008-01-31 | 2012-11-30 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 800 | Indirect | see footnote |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Unit | $0.00 | 2019-09-16 | 72,500 | 72,500 | Direct | |
| Common Stock | Restricted Stock Unit | $0.00 | 2011-02-22 | 2018-08-13 | 2,857 | 2,857 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2019-09-16 | 72,500 | 72,500 | Direct |
| 2018-08-13 | 2,857 | 2,857 | Direct |
Footnotes
- The purchase price of US$24.19 has been converted from AU$26.25 at the spot rate on the date of the transaction.
- These shares were sold pursuant to a pre-arranged trading plan adopted by the reporting person on February 22, 2010 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 $49.53 to $50.56. 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 $49.62 to $50.51. 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$24.33 has been converted from AU$26.25 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 $51.37 to $57.41. 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.
- Shares held by Mr. McIntyre's spouse.
- The exercise price of US$24.19 has been converted from AU$26.25 at the spot rate on the date of the transaction.
- The exercise price of US$24.33 has been converted from AU$26.25 at the spot rate on the date of the transaction.
- Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
- The restricted stock units become exercisable in three equal installments on September 16, 2010, September 16, 2011 and September 16, 2012, respectively.
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