SEC Form 4 · accession 0001209191-16-125741
HeartWare International, Inc. · HTWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Denis Newell Wade
Director
Period of report
Jun 1, 2016
Accepted (ET)
Jun 3, 2016 · 5:17 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 | Jun 1, 2016 | M | 1,000 | $0.00 | A | 5,750 | D | |
| Common StockF1 | holding | — | — | — | 4,966 | I | see footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $29.01 | Jun 1, 2016 | A | 1,000 | A | Jun 1, 2017 | Jun 1, 2026 | Common Stock | 1,000 | 7,000 | D |
| Restricted Stock UnitF3,F4 | — | Jun 1, 2016 | A | 1,000 | A | Jun 1, 2017 | Jun 1, 2017 | Common Stock | 1,000 | 2,250 | D |
| Restricted Stock UnitF3 | — | Jun 1, 2016 | M | 1,000 | D | Jun 1, 2016 | Jun 1, 2016 | Common Stock | 1,000 | 1,250 | D |
Explanation of responses
- F1Nickeli Holdings Pty. Limited as Trustee of the Wade Family Superannuation Fund.
- F2The stock options become exercisable on June 1, 2017 subject to the reporting person's continuous service as a director of the Company through June 1, 2017. In addition, the stock options 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.
- F3Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
- F4The restricted stock units vest on June 1, 2017 subject to the reporting person's continuous service as a director of the Company through June 1, 2017. 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.