Filing Details

Accession Number:
0001209191-10-032737
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-06-07 13:00:00
Reporting Period:
2010-06-04
Filing Date:
2010-06-07
Accepted Time:
2010-06-07 17:31:18
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
1419222 Ramon Paz C/O Heartware International, Inc.
205 Newbury Street, Suite 101
Framingham MA 01701
Vp, Quality Assurance 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 2010-06-04 5,714 $21.89 6,142 No 4 M Direct
Common Stock Acquisiton 2010-06-04 213 $32.10 6,355 No 4 M Direct
Common Stock Disposition 2010-06-04 5,927 $61.35 428 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M 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) Disposition 2010-06-04 2,857 $0.00 2,857 $21.89
Common Stock Stock Option (right to buy) Disposition 2010-06-04 2,857 $0.00 2,857 $21.89
Common Stock Stock Option (right to buy) Disposition 2010-06-04 213 $0.00 213 $32.10
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
3,142 2009-07-02 2017-11-16 No 4 M Direct
285 2010-02-22 2017-11-16 No 4 M Direct
72 2016-07-25 No 4 M Direct
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 25,000 25,000 Direct
Common Stock Restricted Stock Unit $0.00 2011-02-22 2018-08-13 1,429 1,429 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2019-09-16 25,000 25,000 Direct
2018-08-13 1,429 1,429 Direct
Footnotes
  1. The purchase price of US$21.89 has been converted from AU$26.25 at the spot rate on June 4, 2010.
  2. The purchase price of US$32.10 has been converted from AU$38.50 at the spot rate on June 4, 2010.
  3. The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $61.09 to $61.69. 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.
  4. The exercise price of US$21.89 has been converted from AU$26.25 at the spot rate on June 4, 2010.
  5. The exercise price of US$32.10 has been converted from AU$38.50 at the spot rate on June 4, 2010.
  6. The options became exercisable in three equal installments on July 25, 2007, 2008 and 2009.
  7. Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
  8. The restricted stock units become exercisable in three equal installments on September 16, 2010, September 16, 2011 and September 16, 2012, respectively.