Filing Details
- Accession Number:
- 0001209191-15-086669
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-12-22 17:24:51
- Reporting Period:
- 2015-12-20
- Filing Date:
- 2015-12-22
- Accepted Time:
- 2015-12-22 17:24:51
- 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. 500 Old Connecticut Path Framingham MA 01701 | Svp, Sales & Marketing | 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 | 2015-12-20 | 1,666 | $0.00 | 11,646 | No | 4 | M | Direct | |
Common Stock | Disposition | 2015-12-21 | 553 | $46.54 | 11,093 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
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 | Restricted Stock Unit | Disposition | 2015-12-20 | 1,666 | $0.00 | 1,666 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
14,335 | 2015-12-20 | 2015-12-20 | No | 4 | M | Direct |
Footnotes
- 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, 2015, 1,666 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.
- Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.