0001209191-15-073542.txt : 20151002 0001209191-15-073542.hdr.sgml : 20151002 20151002201613 ACCESSION NUMBER: 0001209191-15-073542 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151002 DATE AS OF CHANGE: 20151002 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: Strong Mark CENTRAL INDEX KEY: 0001615034 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34256 FILM NUMBER: 151141905 MAIL ADDRESS: STREET 1: C/O HEARTWARE INTERNATIONAL, INC. STREET 2: 500 OLD CONNECTICUT PATH CITY: FRAMINGHAM STATE: MA ZIP: 01701 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-09-30 0 0001389072 HeartWare International, Inc. HTWR 0001615034 Strong Mark C/O HEARTWARE INTERNATIONAL, INC. 500 OLD CONNECTICUT PATH FRAMINGHAM MA 01701 0 1 0 0 Senior VP, R&D and Quality Common Stock 2015-09-30 4 M 0 3500 0.00 A 5132 D Common Stock 2015-10-01 4 S 0 749 51.66 D 4383 D Common Stock 2015-10-01 4 S 0 1576 52.78 D 2807 D Common Stock 2015-10-01 4 S 0 300 53.60 D 2507 D Restricted Stock Unit 2015-09-30 4 M 0 3500 0.00 D 2015-09-30 2015-09-30 Common Stock 3500 20079 D On December 9, 2013, the reporting person was granted restricted stock units to acquire 14,000 shares of HeartWare International common stock. The award vests in four equal installments on September 30, 2014, September 30, 2015, September 30, 2016 and September 30, 2017. On September 30, 2015 (the anniversary of the reporting person's date of hire), 3,500 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. A portion of 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 $51.31 to $52.29. 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 $52.33 to $53.29. 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 $53.52 to $53.74. 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 2015-10-02