Filing Details
- Accession Number:
- 0001209191-12-027468
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-05-10 20:29:07
- Reporting Period:
- 2012-05-08
- Filing Date:
- 2012-05-10
- Accepted Time:
- 2012-05-10 19:29:07
- 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 |
|---|---|---|---|---|---|---|---|
| 1404227 | Evan Douglas Godshall | C/O Heartware International, Inc. 205 Newbury Street, Suite 101 Framingham MA 01701 | President & Chief Exec Officer | Yes | 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 | 2012-05-08 | 7,857 | $0.00 | 38,286 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-05-09 | 2,294 | $76.99 | 35,992 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2012-05-09 | 1,151 | $77.37 | 34,841 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Footnotes
- On May 9, 2008 the reporting person was granted restricted stock units to purchase an aggregate of 31,428 shares of common stock. The award vests in four installments based on HeartWare's satisfication of certain performance criteria. The performance criteria of the third installment of the award was met on May 8, 2012 resulting in the automatic issuance of 7,857 shares of common stock.
- 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.
- The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $76.22 to $77.22. 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 $77.23 to $77.58. 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.
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