0001209191-16-096855.txt : 20160209
0001209191-16-096855.hdr.sgml : 20160209
20160209170159
ACCESSION NUMBER: 0001209191-16-096855
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160207
FILED AS OF DATE: 20160209
DATE AS OF CHANGE: 20160209
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: Godshall Douglas Evan
CENTRAL INDEX KEY: 0001404227
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34256
FILM NUMBER: 161400820
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
2016-02-07
0
0001389072
HeartWare International, Inc.
HTWR
0001404227
Godshall Douglas Evan
C/O HEARTWARE INTERNATIONAL, INC.
500 OLD CONNECTICUT PATH
FRAMINGHAM
MA
01701
1
1
0
0
President & Chief Exec Officer
Common Stock
2016-02-07
4
M
0
5000
0.00
A
80346
D
Common Stock
2016-02-08
4
S
0
596
35.04
D
79750
D
Common Stock
2016-02-08
4
S
0
700
36.88
D
79050
D
Common Stock
2016-02-08
4
S
0
500
38.00
D
78550
D
Restricted Stock Unit
2016-02-07
4
M
0
5000
0.00
D
2016-02-07
2016-02-07
Common Stock
5000
35250
D
On May 21, 2013, upon receipt of stockholder approval, the reporting person was granted restricted stock units to acquire 20,000 shares of HeartWare International common stock. The award vests in four installments on February 7, 2014, February 7, 2015, February 7, 2016 and February 7, 2017. On February 7, 2016, 5,000 shares of common stock were issued to the reporting person.
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 $34.59 to $35.54. 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 $36.79 to $37.02. 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 $37.80 to $38.29. 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.
Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
/s/ Larry Knopf as Attorney-in-Fact
2016-02-09