4//SEC Filing
Hathaway David R 4
Accession 0001209191-13-028269
CIK 0001389072other
Filed
May 21, 8:00 PM ET
Accepted
May 22, 8:41 PM ET
Size
33.9 KB
Accession
0001209191-13-028269
Insider Transaction Report
Form 4
Hathaway David R
Chief Medical Officer
Transactions
- Exercise/Conversion
Common Stock
2013-05-20$19.40/sh+10,000$194,000→ 11,443 total - Sale
Common Stock
2013-05-20$97.63/sh−8,200$800,566→ 3,243 total - Exercise/Conversion
Common Stock
2013-05-21$19.51/sh+17,140$334,401→ 18,583 total - Sale
Common Stock
2013-05-21$96.16/sh−2,398$230,592→ 3,343 total - Exercise/Conversion
Common Stock
2013-05-22$19.55/sh+2,400$46,920→ 3,843 total - Sale
Common Stock
2013-05-22$95.15/sh−2,400$228,360→ 1,443 total - Exercise/Conversion
Stock Option (right to buy)
2013-05-20−715→ 27,142 totalExercise: $19.40From: 2010-08-13Exp: 2018-08-13→ Common Stock (715 underlying) - Exercise/Conversion
Stock Option (right to buy)
2013-05-22−715→ 9,287 totalExercise: $19.55From: 2011-08-13Exp: 2018-08-13→ Common Stock (715 underlying) - Sale
Common Stock
2013-05-20$98.15/sh−1,800$176,670→ 1,443 total - Sale
Common Stock
2013-05-21$95.46/sh−12,842$1,225,897→ 5,741 total - Sale
Common Stock
2013-05-21$97.31/sh−1,900$184,889→ 1,443 total - Exercise/Conversion
Stock Option (right to buy)
2013-05-20−9,285→ 27,857 totalExercise: $19.40From: 2009-08-13Exp: 2018-08-13→ Common Stock (9,285 underlying) - Exercise/Conversion
Stock Option (right to buy)
2013-05-21−8,570→ 18,572 totalExercise: $19.51From: 2010-08-13Exp: 2018-08-13→ Common Stock (8,570 underlying) - Exercise/Conversion
Stock Option (right to buy)
2013-05-21−8,570→ 10,002 totalExercise: $19.51From: 2011-08-13Exp: 2018-08-13→ Common Stock (8,570 underlying) - Exercise/Conversion
Stock Option (right to buy)
2013-05-22−1,685→ 7,602 totalExercise: $19.55From: 2012-08-13Exp: 2018-08-13→ Common Stock (1,685 underlying)
Footnotes (12)
- [F1]The purchase price of US$19.40 has been converted from AU$19.95 at the spot rate on the date of the transaction.
- [F10]The exercise price of US$19.40 has been converted from AU$19.95 at the spot rate on the date of the transaction.
- [F11]The exercise price of US$19.51 has been converted from AU$19.95 at the spot rate on the date of the transaction.
- [F12]The exercise price of US$19.55 has been converted from AU$19.95 at the spot rate on the date of the transaction.
- [F2]The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $97.01 to $97.98. 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 price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $98.02 to $98.28. 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 purchase price of US$19.51 has been converted from AU$19.95 at the spot rate on the date of the transaction.
- [F5]The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $95.00 to $95.99. 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 $96.00 to $96.62. 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 $97.10 to $97.63. 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 purchase price of US$19.55 has been converted from AU$19.95 at the spot rate on the date of the transaction.
- [F9]The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $95.00 to $95.55. 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 0001434007
Filing Metadata
- Form type
- 4
- Filed
- May 21, 8:00 PM ET
- Accepted
- May 22, 8:41 PM ET
- Size
- 33.9 KB