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