Filing Details
- Accession Number:
- 0001209191-12-030860
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-05-25 21:45:56
- Reporting Period:
- 2012-05-23
- Filing Date:
- 2012-05-25
- Accepted Time:
- 2012-05-25 21:45:56
- 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 | 2012-05-23 | 957 | $78.34 | 11,428 | No | 4 | S | Indirect | see footnote |
| Common Stock | Disposition | 2012-05-25 | 428 | $78.54 | 0 | 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 | 22,677 | Direct | |
| Common Stock | 16,370 | Indirect | see footnote |
| Common Stock | 5,000 | Indirect | see footnote |
Footnotes
- 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 price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $78.21 to $78.56. The sale prices have been converted from Australian dollars to the US dollar equivalent at the spot rate on the date of the transaction. 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.
- Held by Mr. Thomas' spouse, Mrs. Kyrenia Thomas.
- The sale price 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.
- Robert Thomas as Trustee of the RB Thomas Superannuation Fund.
- Robert Thomas as Trustee of the Thomas Family Account.
Billionaire Hedge Funds
