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Filing Details

Accession Number:: 0001209191-13-058578
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-12-24 15:17:39
Reporting Period:: 2013-12-20

Filing Date:: 2013-12-24
Accepted Time:: 2013-12-24 15:17:39
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
1419219	James Schuermann	C/O Heartware International, Inc. 205 Newbury Street, Suite 101 Framingham MA 01701	Svp, Sales & Marketing	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	1,250	$0.00	5,421	No	4	M	Direct
Common Stock	Acquisiton	2013-12-20	1,667	$0.00	7,088	No	4	M	Direct
Common Stock	Disposition	2013-12-20	1,205	$91.59	5,883	No	4	S	Direct
Common Stock	Disposition	2013-12-20	200	$92.41	5,683	No	4	S	Direct
Common Stock	Acquisiton	2013-12-21	2,500	$0.00	8,183	No	4	M	Direct
Common Stock	Disposition	2013-12-23	1,203	$91.06	6,980	No	4	S	Direct
Common Stock	Disposition	2013-12-23	1	$91.66	6,979	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	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	1,250	$0.00	1,250	$0.00
Common Stock	Restricted Stock Unit	Disposition	2013-12-20	1,667	$0.00	1,667	$0.00
Common Stock	Restricted Stock Unit	Disposition	2013-12-21	2,500	$0.00	2,500	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
20,150	2013-12-20	2013-12-20	No	4	M	Direct
18,483	2013-12-20	2013-12-20	No	4	M	Direct
15,983	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 5,000 shares of HeartWare International common stock. The award vests in four equal annual installments commencing on December 20, 2011. On December 20, 2013, 1,250 shares of common stock were issued to the reporting person.
On December 20, 2012, the reporting person was granted restricted stock units to acquire 5,000 shares of HeartWare International common stock. The award vests in three equal annual installments commencing on December 20, 2013. On December 20, 2013, 1,667 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 $91.19 to $92.01. 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 $92.51. 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.
On December 21, 2011, the reporting person was granted restricted stock units to acquire 10,000 shares of HeartWare International common stock. The award vests in four equal annual installments commencing on December 21, 2012. On December 21, 2012, 2,500 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 $91.31. 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.