4//SEC Filing
HeartWare International, Inc. 4
Accession 0001209191-13-058574
CIK 0001389072operating
Filed
Dec 23, 7:00 PM ET
Accepted
Dec 24, 3:07 PM ET
Size
17.9 KB
Accession
0001209191-13-058574
Insider Transaction Report
Form 4
Hathaway David R
Chief Medical Officer
Transactions
- Exercise/Conversion
Common Stock
2013-12-20+1,263→ 1,263 total - Sale
Common Stock
2013-12-20$91.56/sh−489$44,773→ 774 total - Sale
Common Stock
2013-12-20$92.32/sh−120$11,078→ 654 total - Exercise/Conversion
Common Stock
2013-12-21+1,250→ 1,904 total - Sale
Common Stock
2013-12-23$91.03/sh−602$54,800→ 1,302 total - Exercise/Conversion
Restricted Stock Unit
2013-12-20−1,263→ 5,012 totalFrom: 2013-12-20Exp: 2013-12-20→ Common Stock (1,263 underlying) - Exercise/Conversion
Restricted Stock Unit
2013-12-21−1,250→ 3,762 totalFrom: 2013-12-21Exp: 2013-12-21→ Common Stock (1,250 underlying)
Footnotes (7)
- [F1]On December 20, 2010, the reporting person was granted restricted stock units to acquire 5,050 shares of HeartWare International common stock. The award vests in four equal annual installments commencing on December 20, 2011. On December 20, 2013, 1,263 shares of common stock were issued 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 $91.29 to $91.86. 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 $92.30 to $92.32. 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]On December 21, 2011, the reporting person was granted restricted stock units to acquire 5,000 shares of HeartWare International common stock. The award vests in four equal annual installments commencing on December 21, 2012. On December 21, 2013, 1,250 shares of common stock were issued to the reporting person.
- [F6]The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $90.50 to $91.38. 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]Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
Documents
Issuer
HeartWare International, Inc.
CIK 0001389072
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001389072
Filing Metadata
- Form type
- 4
- Filed
- Dec 23, 7:00 PM ET
- Accepted
- Dec 24, 3:07 PM ET
- Size
- 17.9 KB