0001209191-14-010919.txt : 20140214 0001209191-14-010919.hdr.sgml : 20140214 20140214170627 ACCESSION NUMBER: 0001209191-14-010919 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131218 FILED AS OF DATE: 20140214 DATE AS OF CHANGE: 20140214 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: 205 NEWBURY STREET CITY: FRAMINGHAM STATE: MA ZIP: 01701 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Thomas Robert Bain CENTRAL INDEX KEY: 0001404477 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34256 FILM NUMBER: 14618930 MAIL ADDRESS: STREET 1: SUITE 4 LEVEL 46 2 PARK STREET CITY: SIDNEY STATE: C3 ZIP: 2000 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2013-12-18 0 0001389072 HeartWare International, Inc. HTWR 0001404477 Thomas Robert Bain C/O HEARTWARE INTERNATIONAL, INC. 205 NEWBURY ST., SUITE 101 FRAMINGHAM MA 01701 1 0 0 0 Common Stock 2013-12-18 4 S 0 6942 92.27 D 0 I See footnote Common Stock 5510 D Common Stock 2500 I See footnote The sale of CHESS Depository Interests (converted to common stock) occurred under a broker-managed voluntary share sale facility that was established in accordance with the requirements of the ASX following the Company's delisting from the ASX. The sale price has been converted from Australian dollars to the U.S. dollar equivalent at the spot rate on the date of the transaction. Held by Mr. Thomas' spouse, Mrs. Kyrenia Thomas. Robert Thomas as Trustee of the RB Thomas Superannuation Fund. Amount of securities beneficially owned are accurate as of the Transaction Date. These amounts may have been adjusted in subsequent statements. /s/ Larry Knopf as Attorney-in-Fact 2014-02-14