SEC Form 4 · accession 0001209191-16-116847
HeartWare International, Inc. · HTWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy J Barberich
Director
Period of report
May 1, 2016
Accepted (ET)
May 2, 2016 · 7:19 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 Stock | May 1, 2016 | M | 250 | $0.00 | A | 9,857 | D | |
| Common Stock | May 1, 2016 | M | 250 | $0.00 | A | 10,107 | D |
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 | — | May 1, 2016 | M | 250 | D | May 1, 2016 | May 1, 2016 | Common Stock | 250 | 1,500 | D |
| Restricted Stock UnitF1 | — | May 1, 2016 | M | 250 | D | May 1, 2016 | May 1, 2016 | Common Stock | 250 | 1,250 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.