SEC Form 4 · accession 0001209191-16-103011

HeartWare International, Inc. · HTWR

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

Reporting owner

Officer — Chief Scientific Officer

Period of report

Feb 24, 2016

Accepted (ET)

Feb 26, 2016 · 5:02 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	Feb 24, 2016	M	1,200	$0.00	A	12,836	D
Common Stock^F2,F3	Feb 25, 2016	S	254	$28.80	D	12,582	D
Common Stock^F2	Feb 25, 2016	S	100	$30.15	D	12,482	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Unit^F4	—	Feb 24, 2016	M	1,200	D	Feb 24, 2016	Feb 24, 2016	Common Stock	1,200	9,250	D

F1On February 24, 2014, the reporting person was granted restricted stock units to acquire 4,800 shares of HeartWare International common stock. The award vests in four equal annual installments commencing on February 24, 2015. On February 24, 2016, 1,200 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 all payroll taxes related to the vesting of restricted stock units and receipt of the related shares reported on this Form 4.
F3The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $28.59 to $29.09. 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.
F4Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.