0001209191-12-059210.txt : 20121226
0001209191-12-059210.hdr.sgml : 20121224
20121226083148
ACCESSION NUMBER: 0001209191-12-059210
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121220
FILED AS OF DATE: 20121226
DATE AS OF CHANGE: 20121226
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: 121283920
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
2012-12-20
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
2012-12-20
4
M
0
750
0.00
A
1426
D
Common Stock
2012-12-20
4
S
0
243
82.08
D
1183
D
Common Stock
2012-12-21
4
M
0
1250
0.00
A
2433
D
Common Stock
2012-12-21
4
S
0
155
81.68
D
2278
D
Common Stock
2012-12-21
4
S
0
250
82.26
D
2028
D
Restricted Stock Unit
2012-12-20
4
M
0
750
0.00
D
2012-12-20
2012-12-20
Common Stock
750
6500
D
Restricted Stock Unit
2012-12-21
4
M
0
1250
0.00
D
2012-12-21
2012-12-21
Common Stock
1250
5250
D
On December 20, 2010, the reporting person was granted restricted stock units to acquire 3,000 shares of HeartWare International common stock. The award vests in four equal annual installments commencing on December 20, 2011. On December 20, 2012, 750 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 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 $81.40 to $82.37. 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.
On December 21, 2011, the reporting person was granted restricted stock units to acquire 5,000 shares of HeartWare International common stock. The award vests in four equal annual installments commencing on December 21, 2012. On December 21, 2012, 1,250 shares of common stock were issued to the reporting person.
The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $81.08 to $82.05. 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 $82.08 to $82.54. 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.
Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
/s/ Lauren Farrell
2012-12-24