SEC Form 4 · accession 0001179110-18-008797
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
Jun 15, 2018
Accepted (ET)
Jun 19, 2018 · 5:37 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 | Jun 15, 2018 | A | 92,280 | $0.00 | A | 189,657 | D | |
| Common Stock, $.01 par valueF6 | Jun 15, 2018 | F | 20,533 | $440.65 | D | 169,124 | D | |
| Common Stock, $.01 par valueF7 | Jun 18, 2018 | M | 33,500 | $10.03 | A | 202,624 | D | |
| Common Stock, $.01 par valueF8,F9 | Jun 18, 2018 | S | 500 | $437.074 | D | 202,124 | D | |
| Common Stock, $.01 par valueF8,F10 | Jun 18, 2018 | S | 1,900 | $437.8563 | D | 200,224 | D | |
| Common Stock, $.01 par valueF8,F11 | Jun 18, 2018 | S | 1,500 | $438.9313 | D | 198,724 | D | |
| Common Stock, $.01 par valueF8,F12 | Jun 18, 2018 | S | 3,519 | $439.9284 | D | 195,205 | D | |
| Common Stock, $.01 par valueF8,F13 | Jun 18, 2018 | S | 2,684 | $440.8135 | D | 192,521 | D | |
| Common Stock, $.01 par valueF8,F14 | Jun 18, 2018 | S | 4,720 | $441.8321 | D | 187,801 | D | |
| Common Stock, $.01 par valueF8,F15 | Jun 18, 2018 | S | 13,391 | $443.0559 | D | 174,410 | D | |
| Common Stock, $.01 par valueF8,F16 | Jun 18, 2018 | S | 12,410 | $443.8713 | D | 162,000 | D | |
| Common Stock, $.01 par valueF8,F17 | Jun 18, 2018 | S | 4,574 | $444.8106 | D | 157,426 | D | |
| Common Stock, $.01 par valueF8,F18 | Jun 18, 2018 | S | 1,000 | $445.765 | D | 156,426 | D | |
| Common Stock, $.01 par valueF8,F19 | Jun 18, 2018 | S | 302 | $446.5913 | D | 156,124 | D | |
| Common Stock, $.01 par value | holding | — | — | — | 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,F7,F1 | $10.03 | Jun 18, 2018 | M | 33,500 | D | Jun 3, 2011 | Jun 3, 2020 | Common Stock | 33,500 | 0 | 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 |
| Stock Option (right to buy)F4,F3 | $381.97 | holding | — | — | — | May 16, 2019 | May 16, 2028 | Common Stock | 6,500 | 6,500 | D |
Explanation of responses
- F1This option becomes exercisable in annual 25% increments, commencing on the date shown in Table II, Column 6.
- F10This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $437.4600 and $438.3300. 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 $438.4500 and $439.3900. 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 $439.4900 and $440.3600. 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 $440.4800 and $441.4300. 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 $441.4400 and $442.4300. 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 $442.5200 and $443.4100. 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 $443.4400 and $444.4200. 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 $444.4400 and $445.3000. 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 $445.4700 and $446.2300. 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.
- F19This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $446.4600 and $446.8100. 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.
- 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.
- F5Represents shares of common stock underlying performance-based awards of restricted stock units granted to this reporting person on June 15, 2015. One half of these restricted stock units vested on June 15, 2018 (into an equal number of shares of common stock) based on the issuer's achievement of a certain performance milestone with the remaining vesting on June 15, 2019 as long as the reporting person continues to be employed by the issuer on the vesting dates.
- F6Transaction 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.
- F7Exercise of stock options pursuant to reporting owners 10b5-1 plan.
- F8Sale of common stock pursuant to reporting owner's 10b5-1 plan.
- F9This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $436.4400 and $437.4200. 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.