0001209191-11-028670.txt : 20110516 0001209191-11-028670.hdr.sgml : 20110516 20110516173219 ACCESSION NUMBER: 0001209191-11-028670 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110512 FILED AS OF DATE: 20110516 DATE AS OF CHANGE: 20110516 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Knopf Lawrence J CENTRAL INDEX KEY: 0001517214 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34256 FILM NUMBER: 11848938 MAIL ADDRESS: STREET 1: C/O HEARTWARE, INC. STREET 2: 205 NEWBURY ST., SUITE 101 CITY: FRAMINGHAM STATE: MA ZIP: 01701 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HeartWare International, Inc. CENTRAL INDEX KEY: 0001389072 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 980498958 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 14000 NW 57TH COURT CITY: MIAMI LAKES STATE: FL ZIP: 33014 BUSINESS PHONE: 508-739-0841 MAIL ADDRESS: STREET 1: 205 NEWBURY STREET STREET 2: SUITE 101 CITY: FRAMINGHAM STATE: MA ZIP: 01701 FORMER COMPANY: FORMER CONFORMED NAME: HeartWare LTD DATE OF NAME CHANGE: 20070206 4 1 doc4.xml FORM 4 SUBMISSION X0303 4 2011-05-12 0 0001389072 HeartWare International, Inc. HTWR 0001517214 Knopf Lawrence J C/O HEARTWARE INTERNATIONAL, INC. 205 NEWBURY ST., SUITE 101 FRAMINGHAM MA 01701 0 1 0 0 General Counsel Restricted Stock Unit 2011-05-12 4 A 0 21000 0.00 A 2015-03-28 Common Stock 21000 21000 D Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. The restricted stock units become exercisable in four equal installments on March 28, 2012, March 28, 2013, March 28, 2014 and March 28, 2015, subject to Mr. Knopf's continuous employment by the Company through each such date. In addition, the restricted stock units will immediately vest upon the occurrence of a change in control (as defined in the 2008 Stock Incentive Plan) or upon Mr. Knopf's death prior to settlement. /s/ David McIntyre as Attorney-in-Fact 2011-05-16