-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, NARaKCJFcnxuQQrJCB4yFnGzh48JY6Gdck0acsZQjUN9R0WwsEgJ10VSpzXXdce0 /3k40SOxXBm1ceHcjTU7Sg== 0001012975-10-000425.txt : 20101213 0001012975-10-000425.hdr.sgml : 20101213 20101213192133 ACCESSION NUMBER: 0001012975-10-000425 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101209 FILED AS OF DATE: 20101213 DATE AS OF CHANGE: 20101213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: APPLE TREE PARTNERS I LP CENTRAL INDEX KEY: 0001095799 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34256 FILM NUMBER: 101249143 BUSINESS ADDRESS: STREET 1: ONE GORHAM ISLAND CITY: WESTPORT STATE: CT ZIP: 06880 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: 14000 NW 57TH COURT CITY: MIAMI LAKES STATE: FL ZIP: 33014 BUSINESS PHONE: 508-739-0841 MAIL ADDRESS: STREET 1: 205 NEWBURY STREET STREET 2: SUITE 101 CITY: FRAMINGHAM STATE: MA ZIP: 01701 FORMER COMPANY: FORMER CONFORMED NAME: HeartWare LTD DATE OF NAME CHANGE: 20070206 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2010-12-09 0001389072 HeartWare International, Inc. HTWR 0001095799 APPLE TREE PARTNERS I LP ONE BROADWAY, 14TH FLOOR CAMBRIDGE MA 02142 0 0 1 0 Common Stock 2010-12-09 4 S 0 1000000 77.855 D 1673962 D Pursuant to an underwriting agreement (the "Underwriting Agreement"), dated as of December 9, 2010, among Apple Tree Partners I, L.P. (the "Selling Stockholder"), the Issuer, and the underwriters named therein (the "Underwriters"), the Selling Stockholder has agreed to sell an aggregate of 1,000,000 shares of common stock, par value $0.001 per share ("Common Stock"), of the Issuer to the Underwriters, in connection with a registered public offering. The closing of the sale of such shares is expected to occur on or about December 15, 2010, and is subject to customary conditions. The securities held by the reporting person prior to the sale reported herein were previously reported as ordinary shares in HeartWare LTD. (ASX: HTW) prior to the Issuer's redomiciliation from Australia to Delaware. /s/ Seth L. Harrison, Managing Member of Apple Tree Ventures I, LLC, general partner of Apple Tree Partners I, L.P. 2010-12-13 -----END PRIVACY-ENHANCED MESSAGE-----