SEC Form 4 · accession 0001179110-18-007551
ABIOMED INC · ABMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael R Minogue
Officer — President, CEO, Chairman · Director
Period of report
May 24, 2018
Accepted (ET)
May 25, 2018 · 4:12 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 24, 2018 | F | 7,192 | $395.52 | D | 197,962 | D | |
| Common Stock $.01 par valueF6,F9 | May 18, 2018 | G | 1,180 | $0.00 | D | 196,782 | D | |
| Common Stock $.01 par valueF6,F9 | May 18, 2018 | G | 1,180 | $0.00 | A | 120,959 | I | By Trust - A |
| Common Stock $.01 par valueF7,F9 | May 18, 2018 | G | 35,745 | $0.00 | D | 85,214 | I | By Trust - A |
| Common Stock $.01 par valueF8,F9 | May 18, 2018 | G | 38,560 | $0.00 | D | 46,654 | I | By Trust - A |
| Common Stock $.01 par valueF7,F9 | May 18, 2018 | G | 35,745 | $0.00 | A | 73,745 | I | By Trust - B |
| Common Stock $.01 par valueF8,F9 | May 18, 2018 | G | 38,560 | $0.00 | A | 38,560 | I | By Trust - E |
| Common Stock $.01 par value | holding | — | — | — | 9,000 | I | By Trust - C | |
| Common Stock $.01 par value | holding | — | — | — | 655 | I | By Trust - 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,F1 | $10.03 | holding | — | — | — | Jun 3, 2011 | Jun 3, 2020 | Common Stock | 0 | 105,000 | D |
| Stock Option (Right to Buy)F2,F1 | $22.44 | holding | — | — | — | May 22, 2013 | May 22, 2022 | Common Stock | 0 | 100,000 | D |
| Stock Option (Right to Buy)F2,F1 | $23.15 | holding | — | — | — | May 14, 2014 | May 14, 2024 | Common stock | 0 | 85,000 | D |
| Stock Option (right to buy)F2,F3 | $21.55 | holding | — | — | — | May 14, 2015 | May 14, 2024 | Common Stock | 0 | 85,000 | D |
| Stock Option (right to buy)F2,F3 | $66.25 | holding | — | — | — | May 13, 2016 | May 13, 2025 | Common Stock | 0 | 35,000 | D |
| Stock Option (right to buy)F4,F3 | $99.62 | holding | — | — | — | May 24, 2017 | May 24, 2026 | Common Stock | 0 | 30,500 | D |
| Stock Option (right to buy)F4,F3 | $134.51 | holding | — | — | — | May 15, 2018 | May 15, 2027 | Common Stock | 0 | 33,000 | D |
| Stock Option (right to buy)F4,F3 | $381.97 | holding | — | — | — | May 16, 2019 | May 16, 2028 | Common Stock | 30,000 | 30,000 | D |
Explanation of responses
- F1These options become 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.
- F6This transaction represents the transfer of common stock by bona fide gift from the reporting person to a trust held for the benefit of the reporting person's spouse. The reporting person's spouse in a trustee of the trust.
- F7This transaction represents the transfer of common stock by bona fide gift from a trust held for the benefit of reporting person's spouse to a trust held for the benefit of reporting person's children.
- F8This transaction represents the transfer of common stock by bona fide gift from a trust held for the benefit of reporting person's spouse to a charitable foundation.
- F9The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.