SEC Form 4 · accession 0001179110-18-007550
ABIOMED INC · ABMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Martin P Sutter
Director
Period of report
May 23, 2018
Accepted (ET)
May 25, 2018 · 4:11 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 valueF4 | May 23, 2018 | G | 1,200 | $0.00 | D | 186,833 | D | |
| Common Stock, $0.01 par valueF1 | holding | — | — | — | 745,000 | I | By Essex Woodland Health Ventures, VI, LP | |
| Common Stock, $0.01 par valueF2 | 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 | $7.67 | holding | — | — | — | Aug 11, 2010 | Aug 12, 2019 | Common Stock | 12,000 | 12,000 | D |
| Stock Option (right to buy)F3 | $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.
- 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.
- F3Grant 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.
- F4This transaction represents a donation to a charity.