4//SEC Filing
McIntyre David 4
Accession 0001209191-11-062618
CIK 0001389072other
Filed
Dec 20, 7:00 PM ET
Accepted
Dec 21, 6:23 PM ET
Size
23.0 KB
Accession
0001209191-11-062618
Insider Transaction Report
Form 4
McIntyre David
CFO & COO
Transactions
- Sale
Common Stock
2011-12-20$68.80/sh−424$29,171→ 0 total - Exercise/Conversion
Stock Option (right to buy)
2011-12-19−5,714→ 0 totalExercise: $38.41Exp: 2016-10-28→ Common Stock (5,714 underlying) - Exercise/Conversion
Common Stock
2011-12-19$38.41/sh+5,714$219,475→ 5,714 total - Sale
Common Stock
2011-12-19$68.93/sh−1,600$110,288→ 0 total - Sale
Common Stock
2011-12-20$68.09/sh−2,701$183,911→ 424 total - Exercise/Conversion
Restricted Stock Unit
2011-12-20−3,125→ 9,375 totalFrom: 2011-12-20Exp: 2011-12-20→ Common Stock (3,125 underlying) - Sale
Common Stock
2011-12-19$69.12/sh−1,623$112,182→ 0 total - Sale
Common Stock
2011-12-19$68.08/sh−4,114$280,081→ 1,600 total - Exercise/Conversion
Common Stock
2011-12-20+3,125→ 3,125 total
Holdings
- 24,166
Restricted Stock Unit
From: 2012-09-16Exp: 2012-09-16→ Common Stock (24,166 underlying)
Footnotes (11)
- [F1]These shares were sold pursuant to a pre-arranged trading plan in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934.
- [F10]The option was exercisable in four equal installments on October 28, 2007, 2008, 2009 and 2010, respectively.
- [F11]Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
- [F2]The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $68.71 to $69.68. 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.
- [F3]The purchase price of US$38.41 has been converted from AU$38.50 at the spot rate on the date of the transaction.
- [F4]The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $67.59 to $68.58. 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.
- [F5]The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $68.61 to $69.31. 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.
- [F6]On December 20, 2010, the reporting person was granted restricted stock units to acquire 12,500 shares of HeartWare International common stock. The award vests in four equal annual installments commencing on December 20, 2011. On December 20, 2011, 3,125 shares of common stock were issued to the reporting person.
- [F7]The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $67.59 to $68.53. 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.
- [F8]The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $68.65 to $69.30. 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.
- [F9]The exercise price of US$38.41 has been converted from AU$38.50 at the spot rate on the date of the transaction.
Documents
Issuer
HeartWare International, Inc.
CIK 0001389072
Entity typeother
Related Parties
1- filerCIK 0001404254
Filing Metadata
- Form type
- 4
- Filed
- Dec 20, 7:00 PM ET
- Accepted
- Dec 21, 6:23 PM ET
- Size
- 23.0 KB