SEC Form 4 · accession 0001179110-15-012158
ABIOMED INC · ABMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dorothy E Puhy
Director
Period of report
Aug 12, 2015
Accepted (ET)
Aug 14, 2015 · 4:37 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000815094
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.01 par valueF1 | Aug 12, 2015 | A | 3,900 | $0.00 | A | 67,350 | D | |
| Common Stock, $0.01 par valueF5 | Aug 14, 2015 | S | 2,580 | $105.27 | D | 64,770 | D |
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,F4 | $13.21 | holding | — | — | — | Aug 8, 2007 | Aug 9, 2016 | Common Stock | 0 | 8,000 | D |
| Stock option (right to buy)F2,F4 | $12.69 | holding | — | — | — | Aug 13, 2008 | Aug 8, 2017 | Common Stock | 0 | 8,000 | D |
| Stock Option (right to buy)F3,F4 | $18.63 | holding | — | — | — | Aug 12, 2009 | Aug 13, 2018 | Common Stock | 0 | 13,500 | D |
| Stock Option (right to buy)F3,F4 | $7.67 | holding | — | — | — | Aug 11, 2010 | Aug 12, 2019 | Common Stock | 0 | 13,500 | D |
| Stock Option (right to buy)F3,F4 | $9.99 | holding | — | — | — | Aug 10, 2011 | Aug 11, 2020 | Common Stock | 0 | 13,500 | D |
Explanation of responses
- F1Represents shares underlying the grant of restricted stock units that are to be settled in common stock upon vesting. The restricted stock units will vest in full on the earlier of: (a) August 12, 2016; or (b) the date of the Issuer's next annual meeting of stockholders.
- F2Grant to reporting person of option to buy the number of shares of Common Stock set forth in Table II, Column 7, under the ABIOMED, Inc. 2000 Stock Incentive Plan.
- F3Grant to reporting person of option to buy the number of shares of Common Stock set forth in Table II, Column 7, under the ABIOMED, Inc. 2008 Stock Incentive Plan.
- F4This option becomes exerciseable in full on the date set forth in Table II, Column 6.
- F5Sale of common stock pursuant to reporting owner's 10b5-1 plan, including for payment of withholding tax liability associated with the vesting of awards of restricted stock units in accordance with the time periods set forth in such awards.