SEC Form 4 · accession 0001209191-15-001199

HeartWare International, Inc. · HTWR

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — SVP, Sales & Marketing

Period of report

Jan 2, 2015

Accepted (ET)

Jan 5, 2015 · 5:25 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001389072

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Common Stock^F1	Jan 2, 2015	M	1,429	$21.42	A	12,194	D
Common Stock^F2,F3	Jan 2, 2015	S	629	$71.88	D	11,565	D
Common Stock^F2,F4	Jan 2, 2015	S	800	$73.32	D	10,765	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (right to buy)^F5	$21.42	Jan 2, 2015	M	1,429	D	May 8, 2012	Nov 16, 2017	Common Stock	1,429	0	D

F1The purchase price of US$21.42 has been converted from AU$26.25 at the spot rate on the date of the transaction.
F2These shares were sold pursuant to a pre-arranged trading plan adopted by the reporting person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934.
F3The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $71.56 to $72.18. 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.
F4The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $72.64 to $73.63. 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.
F5The exercise price of US$21.42 has been converted from AU$26.25 at the spot rate on the date of the transaction.