0001209191-14-043603.txt : 20140627 0001209191-14-043603.hdr.sgml : 20140627 20140625170342 ACCESSION NUMBER: 0001209191-14-043603 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140623 FILED AS OF DATE: 20140625 DATE AS OF CHANGE: 20140625 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: 500 OLD CONNECTICUT PATH CITY: FRAMINGHAM STATE: MA ZIP: 01701 BUSINESS PHONE: 508-739-0873 MAIL ADDRESS: STREET 1: 500 OLD CONNECTICUT PATH 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: Yocher Robert E CENTRAL INDEX KEY: 0001523963 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34256 FILM NUMBER: 14940509 MAIL ADDRESS: STREET 1: C/O HEARTWARE, INC. STREET 2: 205 NEWBURY ST., SUITE 101 CITY: FRAMINGHAM STATE: MA ZIP: 01701 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-06-23 0 0001389072 HeartWare International, Inc. HTWR 0001523963 Yocher Robert E C/O HEARTWARE INTERNATIONAL, INC. 205 NEWBURY STREET, SUITE 101 FRAMINGHAM MA 01701 0 1 0 0 SVP, Regulatory & Quality Common Stock 2014-06-23 4 M 0 2500 0.00 A 6742 D Common Stock 2014-06-24 4 S 0 822 89.26 D 5920 D Restricted Stock Unit 2014-06-23 4 M 0 2500 0.00 D 2014-06-23 2014-06-23 Common Stock 2500 9427 D On June 23, 2011, the reporting person was granted restricted stock units to acquire 10,000 shares of HeartWare International common stock. The award vests in four equal installments on June 23, 2012, June 23, 2013, June 23, 2014 and June 23, 2015. On June 23, 2014, 2,500 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 sale proceeds were utilized to pay taxes related to the vesting of restricted stock units and receipt of the related shares reported on this Form 4. The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $89.06 to $89.88. 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 as Attorney-in-Fact 2014-06-25