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