SEC Form 4 · accession 0001179110-16-032321
ABIOMED INC · ABMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric A Rose M.D.
Director
Period of report
Nov 30, 2016
Accepted (ET)
Dec 2, 2016 · 4:11 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 valueF3 | Nov 30, 2016 | M | 8,000 | $12.69 | A | 21,259 | D | |
| Common Stock, $.01 par valueF3,F4 | Nov 30, 2016 | S | 3,441 | $110.3373 | D | 17,818 | D | |
| Common Stock, $.01 par valueF3,F5 | Nov 30, 2016 | S | 4,559 | $111.1641 | D | 13,259 | 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 | Nov 30, 2016 | M | 8,000 | D | Aug 13, 2008 | Aug 8, 2017 | Common Stock | 8,000 | 0 | D |
| Stock Option (right to buy)F2 | $18.63 | holding | — | — | — | Aug 13, 2009 | Aug 13, 2018 | Common Stock | 0 | 12,000 | D |
| Stock Option (right to buy)F2 | $7.67 | holding | — | — | — | Aug 12, 2010 | Aug 12, 2019 | Common Stock | 0 | 12,000 | D |
Explanation of responses
- F1Grant to report person of option to buy 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 shares of Common Stock set forth in Table II, Column 7, under the ABIOMED, Inc. 2008 Stock Incentive Plan.
- F3Sale of common stock pursuant to reporting owner's 10b5-1 plan.
- F4This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $110.0100 and $110.9900. 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.
- F5This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $111.0400 and $111.3250. 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.