SEC Form 4 · accession 0001209191-15-031606
HeartWare International, Inc. · HTWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Schuermann
Officer — SVP, Sales & Marketing
Period of report
Apr 1, 2015
Accepted (ET)
Apr 2, 2015 · 5:07 pm EDT
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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Apr 1, 2015 | S | 900 | $86.28 | D | 12,080 | D | |
| Common StockF1 | Apr 1, 2015 | S | 100 | $86.87 | D | 11,980 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were sold pursuant to a pre-arranged trading plan in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934.
- F2The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $85.79 to $86.62. 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.