0001209191-16-096871.txt : 20160209 0001209191-16-096871.hdr.sgml : 20160209 20160209170614 ACCESSION NUMBER: 0001209191-16-096871 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160207 FILED AS OF DATE: 20160209 DATE AS OF CHANGE: 20160209 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: Schuermann James CENTRAL INDEX KEY: 0001419219 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34256 FILM NUMBER: 161400878 MAIL ADDRESS: STREET 1: C/O HEARTWARE, INC. STREET 2: 3351 EXECUTIVE WAY CITY: MIRAMAR STATE: FL ZIP: 33025 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-02-07 0 0001389072 HeartWare International, Inc. HTWR 0001419219 Schuermann James C/O HEARTWARE INTERNATIONAL, INC. 500 OLD CONNECTICUT PATH FRAMINGHAM MA 01701 0 1 0 0 SVP, Sales & Marketing Common Stock 2016-02-07 4 M 0 1600 0.00 A 12991 D Common Stock 2016-02-08 4 S 0 198 35.07 D 12793 D Common Stock 2016-02-08 4 S 0 249 36.89 D 12544 D Common Stock 2016-02-08 4 S 0 200 38.30 D 12344 D Restricted Stock Unit 2016-02-07 4 M 0 1600 0.00 D 2016-02-07 2016-02-07 Common Stock 1600 10235 D On February 7, 2013, the reporting person was granted restricted stock units to acquire 6,400 shares of HeartWare International common stock. The award vests in four equal annual installments commencing on February 7, 2014. On February 7, 2016, 1,600 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 $34.66 to $35.16. 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 $36.79 to $37.02. 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 $38.04 to $38.55. 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/ Larry Knopf as Attorney-in-Fact 2016-02-09