SEC Form 4 · accession 0001209191-15-018825
HeartWare International, Inc. · HTWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Strong
Officer — Senior VP, R&D and Quality
Period of report
Feb 23, 2015
Accepted (ET)
Feb 25, 2015 · 8:21 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001389072
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1,F2 | — | Feb 23, 2015 | A | 4,000 | A | — | Feb 23, 2019 | Common Stock | 4,000 | 26,606 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
- F2The restricted stock units vest in four equal annual installments commencing on the first anniversary of the date of grant subject to the reporting person's continued employment by the Company through each anniversary date. In addition, the restricted stock units will immediately vest upon a change in control (as defined in the 2012 Incentive Award Plan) or upon the reporting person's death prior to settlement.