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Filing Details

Accession Number:: 0001209191-13-058574
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-12-24 15:07:27
Reporting Period:: 2013-12-20

Filing Date:: 2013-12-24
Accepted Time:: 2013-12-24 15:07:27
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	2013-12-20	1,263	$0.00	1,263	No	4	M	Direct
Common Stock	Disposition	2013-12-20	489	$91.56	774	No	4	S	Direct
Common Stock	Disposition	2013-12-20	120	$92.32	654	No	4	S	Direct
Common Stock	Acquisiton	2013-12-21	1,250	$0.00	1,904	No	4	M	Direct
Common Stock	Disposition	2013-12-23	602	$91.03	1,302	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

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Restricted Stock Unit	Disposition	2013-12-20	1,263	$0.00	1,263	$0.00
Common Stock	Restricted Stock Unit	Disposition	2013-12-21	1,250	$0.00	1,250	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
5,012	2013-12-20	2013-12-20	No	4	M	Direct
3,762	2013-12-21	2013-12-21	No	4	M	Direct

Footnotes

On December 20, 2010, the reporting person was granted restricted stock units to acquire 5,050 shares of HeartWare International common stock. The award vests in four equal annual installments commencing on December 20, 2011. On December 20, 2013, 1,263 shares of common stock were issued 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 $91.29 to $91.86. 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 $92.30 to $92.32. 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.
On December 21, 2011, the reporting person was granted restricted stock units to acquire 5,000 shares of HeartWare International common stock. The award vests in four equal annual installments commencing on December 21, 2012. On December 21, 2013, 1,250 shares of common stock were issued to the reporting person.
The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $90.50 to $91.38. 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.
Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.