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