Hathaway David R 4

4 · HeartWare International, Inc. · Filed May 22, 2013

Insider Transaction Report

Form 4

Period: 2013-05-20

HeartWare International, Inc.HTWR

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 total
Exercise: $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 total
Exercise: $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 total
Exercise: $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 total
Exercise: $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 total
Exercise: $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 total
Exercise: $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

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION