0001209191-14-019968.txt : 20140312 0001209191-14-019968.hdr.sgml : 20140312 20140312180921 ACCESSION NUMBER: 0001209191-14-019968 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140306 FILED AS OF DATE: 20140312 DATE AS OF CHANGE: 20140312 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: MCAREE PETER F CENTRAL INDEX KEY: 0001062538 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34256 FILM NUMBER: 14688865 MAIL ADDRESS: STREET 1: 205 NEWBURY STREET STREET 2: SUITE 101 CITY: FRAMINGHAM STATE: MA ZIP: 01701 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-03-06 0 0001389072 HeartWare International, Inc. HTWR 0001062538 MCAREE PETER F C/O HEARTWARE INTERNATIONAL, INC. 205 NEWBURY STREET, SUITE 101 FRAMINGHAM MA 01701 0 1 0 0 SVP, CFO and Treasurer Common Stock 2014-03-06 4 M 0 1400 0.00 A 5386 D Common Stock 2014-03-11 4 S 0 465 93.71 D 4921 D On February 7, 2013 the reporting person was granted restricted stock units for an aggregate of 1,400 shares of common stock. The award vested based on HeartWare's satisfaction of certain performance criteria. The performance criteria was determined to have been satisfied on March 6, 2014 resulting in the issuance of 1,400 shares of common stock 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 all payroll taxes related to the vesting of restricted stock units and receipt of the related shares reported on this Form 4. /s/ Larry Knopf as Attorney-in-Fact 2014-03-12