SEC Form 4 · accession 0001179110-18-006502

ABIOMED INC · ABMD

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Martin P Sutter

Director

Period of report

May 8, 2018

Accepted (ET)

May 9, 2018 · 7:26 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 value	May 8, 2018	M	25,000	$13.91	A	191,377	D
Common Stock, $0.01 par value^F6	May 8, 2018	S	700	$340.4704	D	190,677	D
Common Stock, $0.01 par value^F19,F7	May 8, 2018	S	400	$341.9964	D	190,277	D
Common Stock, $0.01 par value^F19,F8	May 8, 2018	S	2,757	$342.7947	D	187,520	D
Common Stock, $0.01 par value^F19,F9	May 8, 2018	S	3,950	$343.7712	D	183,570	D
Common Stock, $0.01 par value^F19,F10	May 8, 2018	S	1,400	$344.6914	D	182,170	D
Common Stock, $0.01 par value^F19,F11	May 8, 2018	S	400	$345.6375	D	181,770	D
Common Stock, $0.01 par value^F19,F12	May 8, 2018	S	283	$346.5441	D	181,487	D
Common Stock, $0.01 par value	May 8, 2018	M	12,000	$18.63	A	193,487	D
Common Stock, $0.01 par value^F13	May 8, 2018	S	800	$340.4175	D	192,687	D
Common Stock, $0.01 par value	May 8, 2018	S	200	$341.84	D	192,487	D
Common Stock, $0.01 par value^F14	May 8, 2018	S	2,700	$342.6655	D	189,787	D
Common Stock, $0.01 par value^F15	May 8, 2018	S	5,300	$343.6635	D	184,487	D
Common Stock, $0.01 par value^F16	May 8, 2018	S	1,900	$344.5458	D	182,587	D
Common Stock, $0.01 par value^F17	May 8, 2018	S	700	$345.3786	D	181,887	D
Common Stock, $0.01 par value^F18	May 8, 2018	S	400	$346.2625	D	181,487	D
Common Stock, $0.01 par value^F20	May 8, 2018	A	6,546	$329.01	A	188,033	D
Common Stock, $0.01 par value^F20,F1	May 8, 2018	D	201,818	$329.01	D	745,000	I	By Essex Woodland Health Ventures, VI, LP
Common Stock, $0.01 par value^F2	holding	—	—		—	503,182	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	May 8, 2018	M	25,000	D	May 20, 2009	May 20, 2018	Common Stock	25,000	0	D
Stock Option (right to buy)^F5	$18.63	May 8, 2018	M	12,000	D	Aug 12, 2009	Aug 13, 2018	Common Stock	12,000	0	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.
F10This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $344.3700 and $345.0000. 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.
F11This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $345.3500 and $345.7600. 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.
F12This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $346.4000 and $346.6500. 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.
F13This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $340.0000 and $340.5800. 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.
F14This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $342.1700 and $342.9700. 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.
F15This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $343.1500 and $343.9900. 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.
F16This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $344.0000 and $344.9900. 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.
F17This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $345.0000 and $345.7700. 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.
F18This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $346.0000 and $346.6500. 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.
F19Transaction represents shares of common stock sold for the payment of the exercise price of stock options and withholding taxes associated with stock option exercise.
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.
F20Essex Woodlands Health Ventures VI LP made an in-kind distribution of 201,818 shares of Abiomed Stock, in which Mr. Sutter as a limited partner of Essex Woodlands Health Ventures VI LP received 6,546 shares.
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 set 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.
F6This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $340.3300 and $340.5700. 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.
F7This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $341.8400 and $342.2700. 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.
F8This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $342.3300 and $343.2900. 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.
F9This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $343.3400 and $344.1800. 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.