0001209191-16-116854.txt : 20160502 0001209191-16-116854.hdr.sgml : 20160502 20160502192414 ACCESSION NUMBER: 0001209191-16-116854 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160501 FILED AS OF DATE: 20160502 DATE AS OF CHANGE: 20160502 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: Thomas Robert Bain CENTRAL INDEX KEY: 0001404477 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34256 FILM NUMBER: 161613258 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 2016-05-01 0 0001389072 HeartWare International, Inc. HTWR 0001404477 Thomas Robert Bain C/O HEARTWARE INTERNATIONAL, INC. 500 OLD CONNECTICUT PATH FRAMINGHAM MA 01701 1 0 0 0 Common Stock 2016-05-01 4 M 0 250 0.00 A 3260 D Common Stock 2016-05-01 4 M 0 250 0.00 A 3510 D Common Stock 1000 I see footnote Restricted Stock Unit 2016-05-01 4 M 0 250 0.00 D 2016-05-01 2016-05-01 Common Stock 250 1500 D Restricted Stock Unit 2016-05-01 4 M 0 250 0.00 D 2016-05-01 2016-05-01 Common Stock 250 1250 D Robert Thomas as Trustee of the RB Thomas Superannuation Fund. 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 2016-05-02