Filing Details
- Accession Number:
- 0001209191-12-016891
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-03-08 17:51:31
- Reporting Period:
- 2012-03-06
- Filing Date:
- 2012-03-08
- Accepted Time:
- 2012-03-08 17:51:31
- 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 | 2012-03-06 | 5,000 | $70.00 | 31,370 | No | 4 | S | Indirect | see footnote |
Common Stock | Disposition | 2012-03-06 | 714 | $71.89 | 5,000 | No | 4 | S | Indirect | see footnote |
Common Stock | Disposition | 2012-03-06 | 285 | $72.21 | 428 | 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 |
No | 4 | S | Indirect | see footnote |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 22,094 | Direct | |
Common Stock | 13,814 | Indirect | see footnote |
Footnotes
- Robert Thomas as Trustee of the RB Thomas Superannuation Fund.
- The sale was executed in the form of the Company's Chess Depository Interests ("CDI's"), trading on the Australian Securities Exchange, and as such the number of shares sold has been determined based on the ratio of 1 share of common stock per 35 CDI's.
- The sale price of $71.89 has been converted from Australian dollars to the US dollar equivalent at the spot rate on the date of the transaction.
- Robert Thomas as Trustee of the Thomas Family Account.
- The sale price of $72.21 has been converted from Australian dollars to the US dollar equivalent at the spot rate on the date of the transaction.
- Robert Thomas as Trustee of the Tony McCullough Foundation.
- Held by Mr. Thomas' spouse, Mrs. Kyrenia Thomas.