Filing Details
- Accession Number:
- 0001209191-12-027470
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-05-10 20:31:27
- Reporting Period:
- 2012-05-08
- Filing Date:
- 2012-05-10
- Accepted Time:
- 2012-05-10 19:31:27
- 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 |
|---|---|---|---|---|---|---|---|
| 1419219 | James Schuermann | C/O Heartware International, Inc. 205 Newbury Street, Suite 101 Framingham MA 01701 | Vp, Sales & Marketing | 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 | 2012-05-08 | 714 | $0.00 | 5,098 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-05-09 | 209 | $76.99 | 4,889 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2012-05-09 | 104 | $77.37 | 4,785 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Acquisiton | 2012-05-08 | 6,428 | $0.00 | 6,428 | $26.69 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 6,428 | 2012-05-08 | 2017-11-16 | No | 4 | A | Direct |
Footnotes
- On November 16, 2007 the reporting person was granted restricted stock units to purchase an aggregate of 2,857 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 714 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.
- The exercise price of US$26.69 has been converted from AU$26.25 at the spot rate on May 8, 2012.
- On November 16, 2007 the reporting person was granted stock options to purchase an aggregate of 25,714 shares of common stock. The options vest 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 vesting of 6,428 stock options.
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