0001209191-16-133865.txt : 20160725
0001209191-16-133865.hdr.sgml : 20160725
20160725180847
ACCESSION NUMBER: 0001209191-16-133865
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160721
FILED AS OF DATE: 20160725
DATE AS OF CHANGE: 20160725
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: Strong Mark
CENTRAL INDEX KEY: 0001615034
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34256
FILM NUMBER: 161782826
MAIL ADDRESS:
STREET 1: C/O HEARTWARE INTERNATIONAL, INC.
STREET 2: 500 OLD CONNECTICUT PATH
CITY: FRAMINGHAM
STATE: MA
ZIP: 01701
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-07-21
0
0001389072
HeartWare International, Inc.
HTWR
0001615034
Strong Mark
C/O HEARTWARE INTERNATIONAL, INC.
500 OLD CONNECTICUT PATH
FRAMINGHAM
MA
01701
0
1
0
0
Senior VP, R&D and Quality
Common Stock
2016-07-21
4
M
0
2500
0.00
A
5388
D
Common Stock
2016-07-22
4
S
0
814
57.71
D
4574
D
Common Stock
2016-07-22
4
S
0
1061
57.71
D
3513
D
Restricted Stock Unit
2016-07-21
4
M
0
2500
0.00
D
2016-07-21
2016-07-21
Common Stock
2500
20053
D
On September 9, 2014, the reporting person was granted restricted stock units to acquire 10,000 shares of HeartWare International common stock. The award vests in four equal installments on July 21, 2015, July 21, 2016, July 21, 2017 and July 21, 2018. On July 21, 2016, 2,500 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 taxes related to the vesting of restricted stock units and receipt of the related shares reported on this Form 4.
This price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from 57.65 to 57.74. 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.
These shares were sold pursuant to a pre-arranged trading plan in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934.
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
2016-07-25