SEC Form 4 · accession 0001179110-16-031948
ABIOMED INC · ABMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew J Greenfield
Officer — VP Healthcare Solutions
Period of report
Nov 18, 2016
Accepted (ET)
Nov 22, 2016 · 4:05 pm EST
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 valueF4 | Nov 18, 2016 | M | 10,000 | $14.39 | A | 66,307 | D | |
| Common Stock, $.01 par valueF4,F5 | Nov 18, 2016 | S | 10,000 | $114.1349 | A | 56,307 | 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,F1 | $14.39 | Nov 18, 2016 | M | 10,000 | D | Feb 19, 2014 | Feb 19, 2023 | Common Stock | 10,000 | 10,000 | D |
| Stock Option (right to buy)F2,F1 | $22.44 | holding | — | — | — | May 22, 2013 | May 22, 2022 | Common Stock | 0 | 5,000 | D |
| Stock Option (Right to Buy)F2,F1 | $23.15 | holding | — | — | — | May 14, 2014 | May 14, 2023 | Common Stock | 0 | 20,000 | D |
| Stock Option (right to buy)F2,F3 | $21.55 | holding | — | — | — | May 14, 2015 | May 14, 2024 | Common Stock | 0 | 15,000 | D |
| Stock Option (right to buy)F2,F3 | $66.25 | holding | — | — | — | May 13, 2016 | May 13, 2025 | Common Stock | 0 | 5,000 | D |
| Stock Option (right to buy)F6,F3 | $99.62 | holding | — | — | — | May 24, 2017 | May 24, 2026 | Common Stock | 0 | 5,000 | D |
Explanation of responses
- F1These options became exercisable in annual 25% increments, commencing on the date shown in Table II, Column 6.
- F2Grant to reporting person of option to buy shares of Common Stock under 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.
- 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 $114.000 and $114.3900. 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
- 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.