Filing Details
- Accession Number:
- 0001209191-11-003111
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-01-13 17:12:13
- Reporting Period:
- 2011-01-11
- Filing Date:
- 2011-01-13
- Accepted Time:
- 2011-01-13 17:12:13
- 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 |
|---|---|---|---|---|---|---|---|
| 1404237 | Jeffrey Larose | C/O Heartware International, Inc. 205 Newbury Street, Suite 101 Framingham MA 01701 | Chief Scientifc Officer | 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 | 2011-01-11 | 1,400 | $17.38 | 2,222 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-01-11 | 1,400 | $99.00 | 822 | 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 | Stock Option (right to buy) | Disposition | 2011-01-11 | 1,400 | $0.00 | 1,400 | $17.38 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 26,148 | 2006-04-27 | 2015-04-27 | No | 4 | M | Direct |
Footnotes
- The purchase price of US$17.38 has been converted from AU$17.50 at the spot rate on the date of the transaction.
- 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 exercise price of US$17.38 has been converted from AU$17.50 at the spot rate on the date of the transaction.
Billionaire Hedge Funds
