0001209191-11-048568.txt : 20110920
0001209191-11-048568.hdr.sgml : 20110920
20110920180736
ACCESSION NUMBER: 0001209191-11-048568
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110916
FILED AS OF DATE: 20110920
DATE AS OF CHANGE: 20110920
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Paz Ramon
CENTRAL INDEX KEY: 0001419222
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34256
FILM NUMBER: 111100253
MAIL ADDRESS:
STREET 1: C/O HEARTWARE, INC.
STREET 2: 3351 EXECUTIVE WAY
CITY: MIRAMAR
STATE: FL
ZIP: 33025
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
X0304
4
2011-09-16
1
0001389072
HeartWare International, Inc.
HTWR
0001419222
Paz Ramon
C/O HEARTWARE INTERNATIONAL, INC.
205 NEWBURY STREET, SUITE 101
FRAMINGHAM
MA
01701
0
1
0
0
VP, Quality Assurance
Common Stock
2011-09-16
4
M
0
8333
0.00
A
8333
D
Common Stock
2011-09-16
4
S
0
1628
53.81
D
6705
D
Common Stock
2011-09-16
4
S
0
820
55.03
D
5885
D
Common Stock
2011-09-16
4
S
0
742
56.31
D
5143
D
Common Stock
2011-09-19
4
S
0
5143
54.77
D
0
D
Restricted Stock Unit
2011-09-16
4
M
0
8333
0.00
D
2011-09-16
2011-09-16
Common Stock
8333
11333
D
On September 16, 2009, the reporting person was granted restricted stock units to acquire 25,000 shares of HeartWare International common stock. The award vests in three equal annual installments commencing on September 16, 2010. On September 16, 2011, 8,333 shares of common stock were automatically 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 price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $53.40 to $54.20. 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 $54.55 to $55.52. 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 $55.80 to $56.65. 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 $54.44 to $55.19. 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/ David McIntyre as Attorney-in-Fact
2011-09-20