SEC Form 4 · accession 0001179110-16-029895
ABIOMED INC · ABMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael R Minogue
Officer — President, CEO, Chairman · Director
Period of report
Sep 19, 2016
Accepted (ET)
Sep 21, 2016 · 4:57 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 $.01 par valueF7 | Sep 19, 2016 | M | 28,333 | $13.80 | A | 215,782 | D | |
| Common Stock $.01 par valueF7 | Sep 19, 2016 | M | 6,750 | $18.63 | A | 222,532 | D | |
| Common Stock $.01 par valueF7 | Sep 19, 2016 | M | 23,627 | $5.86 | A | 246,159 | D | |
| Common Stock $.01 par valueF7 | Sep 19, 2016 | S | 58,710 | $127.00 | D | 187,449 | D | |
| Common Stock $.01 par valueF7 | Sep 21, 2016 | M | 5,034 | $5.86 | A | 192,483 | D | |
| Common Stock $.01 par valueF7,F8 | Sep 21, 2016 | S | 5,034 | $127.0739 | D | 187,449 | D | |
| Common Stock $.01 par value | holding | — | — | — | 92,788 | I | By Trust | |
| Common Stock $.01 par value | holding | — | — | — | 655 | I | By Trust |
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,F7,F2 | $13.80 | Sep 19, 2016 | M | 28,333 | D | May 23, 2009 | May 23, 2018 | Common Stock | 0 | 0 | D |
| Stock Option (right to buy)F3,F7,F4 | $18.63 | Sep 19, 2016 | M | 6,750 | D | Jun 15, 2009 | Aug 13, 2018 | Common Stock | 0 | 0 | D |
| Stock Option (right to buy)F3,F7,F2 | $5.86 | Sep 19, 2016 | M | 28,661 | D | May 28, 2010 | May 28, 2019 | Common Stock | 0 | 28,039 | D |
| Stock Option (right to buy)F3,F2 | $10.03 | holding | — | — | — | Jun 3, 2011 | Jun 3, 2020 | Common Stock | 0 | 105,000 | D |
| Stock Option (Right to Buy)F3,F2 | $22.44 | holding | — | — | — | May 22, 2013 | May 22, 2022 | Common Stock | 0 | 100,000 | D |
| Stock Option (Right to Buy)F3,F2 | $23.15 | holding | — | — | — | May 14, 2014 | May 14, 2024 | Common stock | 0 | 85,000 | D |
| Stock Option (right to buy)F3,F5 | $21.55 | holding | — | — | — | May 14, 2015 | May 14, 2024 | Common Stock | 0 | 85,000 | D |
| Stock Option (right to buy)F3,F5 | $66.25 | holding | — | — | — | May 13, 2016 | May 13, 2025 | Common Stock | 0 | 35,000 | D |
| Stock Option (right to buy)F6,F5 | $99.62 | holding | — | — | — | May 24, 2017 | May 24, 2026 | Common Stock | 0 | 30,500 | D |
Explanation of responses
- F1Grant to reporting person of option to buy shares of Common Stock under the ABIOMED, Inc. 2000 Stock Incentive Plan.
- F2These options become exercisable in annual 25% increments, commencing on the date shown in Table II, Column 6.
- 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.
- F4These options become exercisable based on the achievement of certain performance milestones.
- F5These options become exercisable in annual 33-1/3% increments, commencing on the date shown in Table II, Column 6.
- F6Grant 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. 2015 Omnibus Incentive Plan.
- F7Sale of common stock pursuant to reporting owner's 10b5-1 plan.
- F8This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $127.0000 and $127.1700. 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.