SEC Form 4 · accession 0001209191-16-094533
HeartWare International, Inc. · HTWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Katrin Leadley
Officer — Chief Medical Officer
Period of report
Dec 9, 2015
Accepted (ET)
Feb 1, 2016 · 7:04 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 | — | Dec 9, 2015 | A | 2,000 | A | — | Oct 19, 2019 | Common Stock | 2,000 | 16,750 | 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 installments on October 19, 2016, October 19, 2017, October 19, 2018 and October 19, 2019, subject to the reporting person's continuous employment by the Company through each date. In addition, the restricted stock units will immediately vest upon the occurrence of a change in control (as defined in the 2012 Incentive Award Plan) or upon the reporting person's death prior to settlement.