0001209191-12-046093.txt : 20120918 0001209191-12-046093.hdr.sgml : 20120918 20120918200929 ACCESSION NUMBER: 0001209191-12-046093 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120916 FILED AS OF DATE: 20120918 DATE AS OF CHANGE: 20120918 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schuermann James CENTRAL INDEX KEY: 0001419219 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34256 FILM NUMBER: 121098477 MAIL ADDRESS: STREET 1: C/O HEARTWARE, INC. STREET 2: 3351 EXECUTIVE WAY CITY: MIRAMAR STATE: FL ZIP: 33025 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 2012-09-16 0 0001389072 HeartWare International, Inc. HTWR 0001419219 Schuermann James C/O HEARTWARE INTERNATIONAL, INC. 205 NEWBURY STREET, SUITE 101 FRAMINGHAM MA 01701 0 1 0 0 SVP, Sales & Marketing Common Stock 2012-09-16 4 M 0 10000 0.00 A 11785 D Common Stock 2012-09-17 4 S 0 460 91.70 D 11325 D Common Stock 2012-09-17 4 S 0 2879 92.49 D 8446 D Common Stock 2012-09-18 4 S 0 405 91.94 D 8041 D Common Stock 2012-09-18 4 S 0 510 92.84 D 7531 D Restricted Stock Unit 2012-09-16 4 M 0 10000 0.00 D 2012-09-16 2012-09-16 Common Stock 10000 13750 D On September 16, 2009, the reporting person was granted restricted stock units to acquire 30,000 shares of HeartWare International common stock. The award vested in three equal annual installments commencing on September 16, 2010. On September 16, 2012, 10,000 shares of common stock were automatically 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 all payroll 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 $91.13 to $92.12. 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 $92.13 to $92.75. 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 $91.23 to $92.21. 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 $92.25 to $93.11. 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/ Lauren Farrell as Attorney-in-Fact 2012-09-18