0001209191-15-050671.txt : 20150605 0001209191-15-050671.hdr.sgml : 20150605 20150605170410 ACCESSION NUMBER: 0001209191-15-050671 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150603 FILED AS OF DATE: 20150605 DATE AS OF CHANGE: 20150605 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: 500 OLD CONNECTICUT PATH CITY: FRAMINGHAM STATE: MA ZIP: 01701 BUSINESS PHONE: 508-739-0873 MAIL ADDRESS: STREET 1: 500 OLD CONNECTICUT PATH CITY: FRAMINGHAM STATE: MA ZIP: 01701 FORMER COMPANY: FORMER CONFORMED NAME: HeartWare LTD DATE OF NAME CHANGE: 20070206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Stockman Robert Bernard CENTRAL INDEX KEY: 0001404726 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34256 FILM NUMBER: 15916604 MAIL ADDRESS: STREET 1: SUITE 4 LEVEL 46 2 PARK STREET CITY: SIDNEY STATE: C3 ZIP: 2000 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-06-03 0 0001389072 HeartWare International, Inc. HTWR 0001404726 Stockman Robert Bernard C/O HEARTWARE INTERNATIONAL, INC. 500 OLD CONNECTICUT PATH FRAMINGHAM MA 01701 1 0 0 0 Stock Option (right to buy) 76.60 2015-06-03 4 A 0 1000 0.00 A 2016-06-01 2025-06-01 Common Stock 1000 11714 D Restricted Stock Unit 2015-06-03 4 A 0 1000 0.00 A 2016-06-01 2016-06-01 Common Stock 1000 1750 D The stock options become exercisable on June 1, 2016 subject to the reporting person's continuous service as a director of the Company through June 1, 2016. In addition, the stock options will immediately vest upon the occurrence of a change in control (as defined in the 2012 Incentive Award Plan) or upon the reporting person's death prior to settlement. Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. The restricted stock units vest on June 1, 2016 subject to the reporting person's continuous service as a director of the Company through June 1, 2016. In addition, the restricted stock units will immediately vest upon the occurrence of a change in control (as defined in the 2012 Incentive Award Plan) or upon the reporting person's death prior to settlement. /s/ Larry Knopf as Attorney-in-Fact 2015-06-05