SEC Form 4 · accession 0001179110-16-028577
ABIOMED INC · ABMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Martin P Sutter
Director
Period of report
Aug 9, 2016
Accepted (ET)
Aug 11, 2016 · 4:36 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 valueF6 | Aug 9, 2016 | A | 1,621 | $0.00 | A | 164,312 | D | |
| Common Stock, $.01 par valueF1 | holding | — | — | — | 946,818 | I | By Essex Woodland Health Ventures, VI, LP | |
| Common Stock, $0.01 par valueF2 | holding | — | — | — | 1,203,182 | I | By Essex Woodlands Health Ventures Fund VII, LP |
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)F3,F4 | $13.91 | holding | — | — | — | May 20, 2009 | May 20, 2018 | Common Stock | 25,000 | 25,000 | D |
| Stock Option (right to buy)F5 | $18.63 | holding | — | — | — | Aug 12, 2009 | Aug 13, 2018 | Common Stock | 12,000 | 12,000 | D |
| Stock Option (right to buy)F5 | $7.67 | holding | — | — | — | Aug 11, 2010 | Aug 12, 2019 | Common Stock | 12,000 | 12,000 | D |
| Stock Option (right to buy)F5 | $9.99 | holding | — | — | — | Aug 10, 2011 | Aug 11, 2020 | Common Stock | 12,000 | 12,000 | D |
Explanation of responses
- F1These securities are held by Essex Woodlands Health Ventures Fund VI, L.P. Mr. Sutter is a managing director of Essex Woodlands Health Ventures, the partnership that owns the reported securities. As a managing director Mr. Sutter shares voting and investment powers for Essex Woodlands Health Ventures Fund VI, L.P.. Mr. Sutter disclaims beneficial ownership of all such securities except to the extent of his pecuniary interest therein.
- F2These securities are held by Essex Woodlands Health Ventures Fund VII, L.P.. Mr. Sutter is a managing director of Essex Woodlands Health Ventures, the partnership that owns the reported securities. As a managing director Mr. Sutter shares voting and investment powers for Essex Woodlands Health Ventures Fund VII, L.P. Mr. Sutter disclaims beneficial ownership of all such securities except to the extent of his pecuniary interest therein.
- F3Grant to reporting person to buy shares of Common Stock under ABIOMED, Inc. 2000 Stock Incentive Plan.
- F4These options become exerciseable in annual 20% increments commencing on the date shown forth in Table II, Column 6.
- F5Grant to reporting person of option to buy shares of Common Stock set forth in Table II, Column 7, under the ABIOMED, Inc. 2008 Stock Incentive Plan.
- F6Represents 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.