SEC Form 4 · accession 0001179110-16-028576
ABIOMED INC · ABMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dorothy E Puhy
Director
Period of report
Aug 9, 2016
Accepted (ET)
Aug 11, 2016 · 4:35 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 valueF7 | Aug 9, 2016 | A | 1,621 | $0.00 | A | 33,811 | D | |
| Common Stock, $0.01 par valueF4,F5 | Aug 10, 2016 | S | 3,000 | $122.0313 | D | 30,811 | D | |
| Common Stock, $0.01 par valueF4,F6 | Aug 10, 2016 | S | 600 | $122.9867 | D | 30,211 | D | |
| Common Stock, $0.01 par valueF4 | Aug 10, 2016 | S | 300 | $123.70 | D | 29,911 | 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)F1,F3 | $12.69 | holding | — | — | — | Aug 13, 2008 | Aug 8, 2017 | Common Stock | 0 | 8,000 | D |
| Stock Option (right to buy)F2,F3 | $18.63 | holding | — | — | — | Aug 12, 2009 | Aug 13, 2018 | Common Stock | 0 | 13,500 | D |
| Stock Option (right to buy)F2,F3 | $7.67 | holding | — | — | — | Aug 11, 2010 | Aug 12, 2019 | Common Stock | 0 | 13,500 | D |
| Stock Option (right to buy)F2,F3 | $9.99 | holding | — | — | — | Aug 10, 2011 | Aug 11, 2020 | Common Stock | 0 | 13,500 | D |
Explanation of responses
- F1Grant 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.
- 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. 2008 Stock Incentive Plan.
- F3This option becomes exerciseable in full on the date set forth in Table II, Column 6.
- F4Sale of common stock pursuant to reporting owner's 10b5-1 plan.
- F5This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $121.6600 and $122.6100. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer, or a security holder of the Issuer.
- F6This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $122.8900 and $122.9867. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer, or a security holder of the Issuer.
- F7Represents 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 later of: (a) August 9, 2017; or (b) the date of the Issuer's next annual meeting of stockholders.