Filing Details
- Accession Number:
- 0001209191-11-062618
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-12-21 18:23:46
- Reporting Period:
- 2011-12-19
- Filing Date:
- 2011-12-21
- Accepted Time:
- 2011-12-21 18:23:46
- 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 |
|---|---|---|---|---|---|---|---|
| 1404254 | David Mcintyre | C/O Heartware International, Inc. 205 Newbury Street, Suite 101 Framingham MA 01701 | Cfo & Coo | 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 | Disposition | 2011-12-19 | 1,623 | $69.12 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-12-19 | 5,714 | $38.41 | 5,714 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-12-19 | 4,114 | $68.08 | 1,600 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-12-19 | 1,600 | $68.93 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-12-20 | 3,125 | $0.00 | 3,125 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-12-20 | 2,701 | $68.09 | 424 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-12-20 | 424 | $68.80 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | 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
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2011-12-19 | 5,714 | $0.00 | 5,714 | $38.41 |
| Common Stock | Restricted Stock Unit | Disposition | 2011-12-20 | 3,125 | $0.00 | 3,125 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2016-10-28 | No | 4 | M | Direct | |
| 9,375 | 2011-12-20 | 2011-12-20 | No | 4 | M | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Unit | $0.00 | 2012-09-16 | 2012-09-16 | 24,166 | 24,166 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2012-09-16 | 24,166 | 24,166 | Direct |
Footnotes
- 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 price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $68.71 to $69.68. 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 purchase price of US$38.41 has been converted from AU$38.50 at the spot rate on the date of the transaction.
- The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $67.59 to $68.58. 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 $68.61 to $69.31. 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.
- On December 20, 2010, the reporting person was granted restricted stock units to acquire 12,500 shares of HeartWare International common stock. The award vests in four equal annual installments commencing on December 20, 2011. On December 20, 2011, 3,125 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 $67.59 to $68.53. 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 $68.65 to $69.30. 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 exercise price of US$38.41 has been converted from AU$38.50 at the spot rate on the date of the transaction.
- The option was exercisable in four equal installments on October 28, 2007, 2008, 2009 and 2010, respectively.
- Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
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