0001209191-16-125741.txt : 20160603 0001209191-16-125741.hdr.sgml : 20160603 20160603171723 ACCESSION NUMBER: 0001209191-16-125741 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160601 FILED AS OF DATE: 20160603 DATE AS OF CHANGE: 20160603 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: Wade Denis Newell CENTRAL INDEX KEY: 0001404735 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34256 FILM NUMBER: 161696691 MAIL ADDRESS: STREET 1: SUITE 4 LEVEL 46 STREET 2: 2 PARK STREET CITY: SIDNEY STATE: C3 ZIP: 2000 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-06-01 0 0001389072 HeartWare International, Inc. HTWR 0001404735 Wade Denis Newell C/O HEARTWARE INTERNATIONAL, INC. 500 OLD CONNECTICUT PATH FRAMINGHAM MA 01701 1 0 0 0 Common Stock 2016-06-01 4 M 0 1000 0.00 A 5750 D Common Stock 4966 I see footnote Stock Option (right to buy) 29.01 2016-06-01 4 A 0 1000 0.00 A 2017-06-01 2026-06-01 Common Stock 1000 7000 D Restricted Stock Unit 2016-06-01 4 A 0 1000 0.00 A 2017-06-01 2017-06-01 Common Stock 1000 2250 D Restricted Stock Unit 2016-06-01 4 M 0 1000 0.00 D 2016-06-01 2016-06-01 Common Stock 1000 1250 D Nickeli Holdings Pty. Limited as Trustee of the Wade Family Superannuation Fund. The stock options become exercisable on June 1, 2017 subject to the reporting person's continuous service as a director of the Company through June 1, 2017. 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, 2017 subject to the reporting person's continuous service as a director of the Company through June 1, 2017. 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 2016-06-03