Filing Details
- Accession Number:
- 0001209191-11-031008
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2011-05-25 18:27:44
- Reporting Period:
- 2011-05-19
- Filing Date:
- 2011-05-25
- Accepted Time:
- 2011-05-25 17:27:44
- Original Submission Date:
- 2011-05-23
- 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 |
|---|---|---|---|---|---|---|---|
| 1404477 | Bain Robert Thomas | C/O Heartware International, Inc. 205 Newbury St., Suite 101 Framingham MA 01701 | Yes | No | 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 | Disposition | 2011-05-19 | 3,300 | $75.98 | 53,070 | No | 4 | S | Indirect | see footnote |
| Common Stock | Disposition | 2011-05-19 | 1,700 | $76.50 | 51,370 | No | 4 | S | Indirect | see footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | see footnote |
| No | 4 | S | Indirect | see footnote |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 29,595 | Direct | |
| Common Stock | 10,714 | Indirect | see footnote |
| Common Stock | 14,286 | Indirect | see footnote |
| Common Stock | 1,285 | Indirect | see footnote |
Footnotes
- The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $75.23 to $76.20. 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.
- Robert Thomas as Trustee of the RB Thomas Superannuation Fund.
- The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $76.25 to $76.86. 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.
- Robert Thomas as Trustee of the Thomas Family Account.
- Held by Mr. Thomas' spouse, Mrs. Kyrenia Thomas.
- Robert Thomas as Trustee of the Tony McCullough Foundation.
Billionaire Hedge Funds
