0001209191-13-018878.txt : 20130328 0001209191-13-018878.hdr.sgml : 20130328 20130328181430 ACCESSION NUMBER: 0001209191-13-018878 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130328 FILED AS OF DATE: 20130328 DATE AS OF CHANGE: 20130328 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Knopf Lawrence J CENTRAL INDEX KEY: 0001517214 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34256 FILM NUMBER: 13725531 MAIL ADDRESS: STREET 1: C/O HEARTWARE, INC. STREET 2: 205 NEWBURY ST., SUITE 101 CITY: FRAMINGHAM STATE: MA ZIP: 01701 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 2013-03-28 0 0001389072 HeartWare International, Inc. HTWR 0001517214 Knopf Lawrence J C/O HEARTWARE INTERNATIONAL, INC. 205 NEWBURY ST., SUITE 101 FRAMINGHAM MA 01701 0 1 0 0 General Counsel Common Stock 2013-03-28 4 M 0 5250 0.00 A 9103 D Common Stock 2013-03-28 4 S 0 2330 88.51 D 6773 D Common Stock 2013-03-28 4 S 0 170 89.00 D 6603 D Restricted Stock Unit 2013-03-28 4 M 0 5250 0.00 D 2013-03-28 2013-03-28 Common Stock 5250 20600 D On May 12, 2011, the reporting person was granted restricted stock units to acquire 21,000 shares of HeartWare International common stock. The award vests in four equal installments on March 28, 2012, March 28, 2013, March 28, 2014 and March 28, 2015. On March 28, 2013, 5,250 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 price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $87.98 to $88.95. 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 $89.00 to $89.01. 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 2013-03-28