0001209191-14-002244.txt : 20140107
0001209191-14-002244.hdr.sgml : 20140107
20140107170629
ACCESSION NUMBER: 0001209191-14-002244
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140106
FILED AS OF DATE: 20140107
DATE AS OF CHANGE: 20140107
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: Harrison Seth Loring
CENTRAL INDEX KEY: 0001404955
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34256
FILM NUMBER: 14514171
MAIL ADDRESS:
STREET 1: SUITE 4 LEVEL 46
STREET 2: 2 PARK STREET
CITY: SIDNEY
STATE: C3
ZIP: 2000
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2014-01-06
0
0001389072
HeartWare International, Inc.
HTWR
0001404955
Harrison Seth Loring
C/O APPLE TREE PARTNERS
821 BROADWAY, 5TH FLOOR
NEW YORK
NY
10003
1
0
0
0
Common Stock
2014-01-06
4
S
0
7909
99.29
D
132393
D
Common Stock
16186
I
See footnote
Common Stock
6750
I
See footnote
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 price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $99.19 to $99.50. 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.
Represents shares held by Dr. Harrison's spouse, Ms. Ariane Harrison.
Represents shares held by Tortoise Foundation, a charitable foundation managed by the reporting person.
/s/ Larry Knopf as Attorney-in-Fact
2014-01-07