SEC Form 4 · accession 0001209191-15-062243

HeartWare International, Inc. · HTWR

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

Reporting owner

Officer — Senior VP, R&D and Quality

Period of report

Jul 21, 2015

Accepted (ET)

Jul 23, 2015 · 5:32 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
Common Stock^F1	Jul 21, 2015	M	2,500	$0.00	A	3,507	D
Common Stock^F2	Jul 22, 2015	S	829	$88.06	D	2,678	D
Common Stock^F3	Jul 22, 2015	S	1,046	$88.06	D	1,632	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Unit^F4	—	Jul 21, 2015	M	2,500	D	Jul 21, 2015	Jul 21, 2015	Common Stock	2,500	23,579	D

F1On September 9, 2014, the reporting person was granted restricted stock units to acquire 10,000 shares of HeartWare International common stock. The award vests in four equal installments on July 21, 2015, July 21, 2016, July 21, 2017 and July 21, 2018. On July 21, 2015, 2,500 shares of common stock were issued to the reporting person.
F2These 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 taxes related to the vesting of restricted stock units and receipt of the related shares reported on this Form 4.
F3These shares were sold pursuant to a pre-arranged trading plan in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934.
F4Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.