SEC Form 4 · accession 0001179110-18-006913
ABIOMED INC · ABMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David M Weber
Officer — Chief Operating Officer
Period of report
May 13, 2018
Accepted (ET)
May 16, 2018 · 5:45 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 | May 13, 2018 | F | 2,596 | $372.68 | D | 106,026 | D | |
| Common Stock, $.01 par valueF6 | May 15, 2015 | A | 8,000 | $0.00 | A | 114,026 | D | |
| Common Stock, $.01 par valueF5 | May 15, 2018 | F | 1,633 | $375.67 | D | 112,393 | D | |
| Common Stock, $.01 par valueF7 | Aug 8, 2017 | G | 15,497 | $0.00 | D | 96,896 | D | |
| Common Stock, $.01 par valueF7 | Aug 8, 2017 | G | 15,497 | $0.00 | A | 15,497 | 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 | 33,500 | D |
| Stock Option (right to buy)F2,F1 | $22.44 | holding | — | — | — | May 22, 2013 | May 22, 2022 | Common Stock | 0 | 25,000 | D |
| Stock Option (Right to Buy)F2,F1 | $23.15 | holding | — | — | — | May 14, 2014 | May 14, 2023 | Common Stock | 0 | 23,000 | 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 | 10,000 | D |
| Stock Option (right to buy)F4,F3 | $99.62 | holding | — | — | — | May 24, 2017 | May 24, 2026 | Common Stock | 0 | 7,000 | D |
| Stock Option (right to buy)F4,F3 | $134.51 | holding | — | — | — | May 15, 2018 | May 15, 2027 | Common Stock | 0 | 8,000 | D |
Explanation of responses
- F1This option becomes 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.
- F5Transaction represents shares of common stock withheld solely for the payment of withholding tax liability associated with the vesting of awards of restricted stock units in accordance with the time periods set forth in such awards.
- F6Represents shares of common stock underlying performance-based awards of restricted stock units granted to this reporting person on May 15, 2017. One third of these restricted stock units vested on May 15, 2018 (into an equal number of shares of common stock) based on the issuer's achievement of a certain performance milestone and upon the first anniversary of the date of the grant with the remaining vesting on the second and third anniversaries of the date of grant as long as the reporting person continues to be employed by the issuer on the vesting dates.
- F7This transaction represents the transfer of common stock by bona fide gift from reporting person to a trust.