0001209191-12-054431.txt : 20121123
0001209191-12-054431.hdr.sgml : 20121122
20121123164702
ACCESSION NUMBER: 0001209191-12-054431
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121120
FILED AS OF DATE: 20121123
DATE AS OF CHANGE: 20121123
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Farrell Lauren
CENTRAL INDEX KEY: 0001321437
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34256
FILM NUMBER: 121222945
MAIL ADDRESS:
STREET 1: 78 PARTRIDGE HILL RD
CITY: BRAINTREE
STATE: MA
ZIP: 02184
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
doc4.xml
FORM 4 SUBMISSION
X0306
4
2012-11-20
0
0001389072
HeartWare International, Inc.
HTWR
0001321437
Farrell Lauren
C/O HEARTWARE INTERNATIONAL, INC.
205 NEWBURY STREET, SUITE 101
FRAMINGHAM
MA
01701
0
1
0
0
VP, Finance
Common Stock
2012-11-20
4
M
0
536
0.00
A
1212
D
Common Stock
2012-11-21
4
S
0
11
81.77
D
1201
D
Common Stock
2012-11-21
4
S
0
50
82.88
D
1151
D
Common Stock
2012-11-21
4
S
0
32
83.92
D
1119
D
Common Stock
2012-11-21
4
S
0
76
84.85
D
1043
D
Common Stock
2012-11-21
4
S
0
4
85.79
D
1039
D
Common Stock
2012-11-21
4
S
0
1
87.00
D
1038
D
Common Stock
2012-11-21
4
S
0
362
86.96
D
676
D
On August 13, 2008 the reporting person was granted restricted stock units to purchase an aggregate of 2,142 shares of common stock. The award vested in three installments based on HeartWare's satisfaction of certain performance criteria. The performance criteria of the third installment of the award was met on November 20, 2012 resulting in the issuance of 536 shares of common stock 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 $81.45 to $82.10. 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.
The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $82.50 to $83.49. 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.
The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $83.55 to $84.48. 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.
The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $84.55 to $85.53. 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.
The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $85.75 to $85.82. 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.
The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $86.83 to $87.04. 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.
/s/ Lauren Farrell
2012-11-23