0001209191-16-103013.txt : 20160226
0001209191-16-103013.hdr.sgml : 20160226
20160226170400
ACCESSION NUMBER: 0001209191-16-103013
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160224
FILED AS OF DATE: 20160226
DATE AS OF CHANGE: 20160226
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: Schuermann James
CENTRAL INDEX KEY: 0001419219
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34256
FILM NUMBER: 161463055
MAIL ADDRESS:
STREET 1: C/O HEARTWARE, INC.
STREET 2: 3351 EXECUTIVE WAY
CITY: MIRAMAR
STATE: FL
ZIP: 33025
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-02-24
0
0001389072
HeartWare International, Inc.
HTWR
0001419219
Schuermann James
C/O HEARTWARE INTERNATIONAL, INC.
500 OLD CONNECTICUT PATH
FRAMINGHAM
MA
01701
0
1
0
0
SVP, Sales & Marketing
Common Stock
2016-02-24
4
M
0
1712
0.00
A
14644
D
Common Stock
2016-02-25
4
S
0
401
28.76
D
14243
D
Common Stock
2016-02-25
4
S
0
200
30.20
D
14043
D
Restricted Stock Unit
2016-02-24
4
M
0
1712
0.00
D
2016-02-24
2016-02-24
Common Stock
1712
11648
D
On February 24, 2014, the reporting person was granted restricted stock units to acquire 6,847 shares of HeartWare International common stock. The award vests in four annual installments commencing on February 24, 2015. On February 24, 2016, 1,712 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 $28.59 to $29.32. 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
2016-02-26