SEC Form 4 · accession 0001179110-16-030084
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 27, 2016
Accepted (ET)
Sep 29, 2016 · 4:09 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 valueF5 | Sep 27, 2016 | A | 50,000 | $0.00 | A | 237,449 | D | |
| Common Stock $.01 par valueF6 | Sep 27, 2016 | F | 23,550 | $126.72 | D | 213,899 | 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)F2,F1 | $10.03 | holding | — | — | — | Jun 3, 2011 | Jun 3, 2020 | Common Stock | 0 | 105,000 | D |
| Stock Option (Right to Buy)F2,F1 | $22.44 | holding | — | — | — | May 22, 2013 | May 22, 2022 | Common Stock | 0 | 100,000 | D |
| Stock Option (Right to Buy)F2,F1 | $23.15 | holding | — | — | — | May 14, 2014 | May 14, 2024 | Common stock | 0 | 85,000 | D |
| Stock Option (right to buy)F2,F3 | $21.55 | holding | — | — | — | May 14, 2015 | May 14, 2024 | Common Stock | 0 | 85,000 | D |
| Stock Option (right to buy)F2,F3 | $66.25 | holding | — | — | — | May 13, 2016 | May 13, 2025 | Common Stock | 0 | 35,000 | D |
| Stock Option (right to buy)F4,F3 | $99.62 | holding | — | — | — | May 24, 2017 | May 24, 2026 | Common Stock | 0 | 30,500 | D |
Explanation of responses
- F1These options become exercisable in annual 25% increments, commencing on the date shown in Table II, Column 6.
- 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.
- F3These options become exercisable in annual 33-1/3% increments, commencing on the date shown in Table II, Column 6.
- F4Grant 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.
- F5These performance-based awards of restricted stock units were granted to this reporting person on June 27, 2011. These restricted stock units vested on September 27, 2016 upon the issuer's achievement of a certain regulatory milestone.
- F6Transaction represents shares of common stock withheld solely for payment of withholding tax liability associated with the vesting of awards of restricted stock units.