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