4//SEC Filing
Farrell Lauren 4
Accession 0001209191-12-054431
CIK 0001389072other
Filed
Nov 22, 7:00 PM ET
Accepted
Nov 23, 4:47 PM ET
Size
19.2 KB
Accession
0001209191-12-054431
Insider Transaction Report
Form 4
Farrell Lauren
VP, Finance
Transactions
- Sale
Common Stock
2012-11-21$82.88/sh−50$4,144→ 1,151 total - Sale
Common Stock
2012-11-21$84.85/sh−76$6,449→ 1,043 total - Sale
Common Stock
2012-11-21$85.79/sh−4$343→ 1,039 total - Sale
Common Stock
2012-11-21$81.77/sh−11$899→ 1,201 total - Sale
Common Stock
2012-11-21$83.92/sh−32$2,685→ 1,119 total - Sale
Common Stock
2012-11-21$86.96/sh−362$31,480→ 676 total - Exercise/Conversion
Common Stock
2012-11-20+536→ 1,212 total - Sale
Common Stock
2012-11-21$87.00/sh−1$87→ 1,038 total
Footnotes (9)
- [F1]On August 13, 2008 the reporting person was granted restricted stock units to purchase an aggregate of 2,142 shares of common stock. The award vested in three installments based on HeartWare's satisfaction of certain performance criteria. The performance criteria of the third installment of the award was met on November 20, 2012 resulting in the issuance of 536 shares of common stock to the reporting person.
- [F2]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.
- [F3]The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $81.45 to $82.10. 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.
- [F4]The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $82.50 to $83.49. 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 $83.55 to $84.48. 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]The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $84.55 to $85.53. 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.
- [F7]The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $85.75 to $85.82. 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]These shares were sold pursuant to a pre-arranged trading plan in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934.
- [F9]The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $86.83 to $87.04. 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.
Documents
Issuer
HeartWare International, Inc.
CIK 0001389072
Entity typeother
Related Parties
1- filerCIK 0001321437
Filing Metadata
- Form type
- 4
- Filed
- Nov 22, 7:00 PM ET
- Accepted
- Nov 23, 4:47 PM ET
- Size
- 19.2 KB