Filing Details
- Accession Number:
- 0001209191-14-060596
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-10-01 17:18:24
- Reporting Period:
- 2014-09-30
- Filing Date:
- 2014-10-01
- Accepted Time:
- 2014-10-01 17:18:24
- 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 |
|---|---|---|---|---|---|---|---|
| 1615034 | Mark Strong | C/O Heartware International, Inc. 500 Old Connecticut Path Framingham MA 01701 | Senior Vp, R&D And Quality | 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 | 2014-09-30 | 3,500 | $0.00 | 3,500 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-10-01 | 1,163 | $76.96 | 2,337 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2014-10-01 | 1,462 | $76.96 | 875 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Unit | Disposition | 2014-09-30 | 3,500 | $0.00 | 3,500 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 22,606 | 2014-09-30 | 2014-09-30 | No | 4 | M | Direct |
Footnotes
- On December 9, 2013, the reporting person was granted restricted stock units to acquire 14,000 shares of HeartWare International common stock. The award vests in four equal installments on September 30, 2014, September 30, 2015, September 30, 2016 and September 30, 2017. On September 30, 2014 (the anniversary of the reporting person's date of hire), 3,500 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 taxes related to the vesting of restricted stock units and receipt of the related shares reported on this Form 4.
- These shares were sold pursuant to a pre-arranged trading plan in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934.
- Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
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