| FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol ABIOMED INC [ ABMD ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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| 3. Date of Earliest Transaction (Month/Day/Year) 05/29/2020 | ||||||||||||||||||||||||||
| 4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock, $.01 par value | 05/29/2020 | A(5) | 600(5) | A | $0 | 30,855 | D | |||
| Common Stock, $.01 par value | 20,510 | I | By Trust | |||||||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Option (Right to Buy)(1) | $21.55 | 05/14/2015(3) | 05/14/2024 | Common Stock | 0 | 7,500 | D | ||||||||
| Stock Option (Right to Buy)(1) | $23.15 | 05/14/2014(2) | 05/14/2023 | Common Stock | 0 | 15,000 | D | ||||||||
| Stock Option (Right to Buy)(1) | $66.25 | 05/13/2016(3) | 05/13/2025 | Common Stock | 0 | 5,000 | D | ||||||||
| Stock Option (Right to Buy)(4) | $99.62 | 05/24/2017(3) | 05/24/2026 | Common Stock | 0 | 8,000 | D | ||||||||
| Stock Option (Right to Buy)(4) | $134.51 | 05/15/2018(3) | 05/15/2027 | Common Stock | 0 | 6,500 | D | ||||||||
| Stock Option (Right to Buy)(4) | $381.97 | 05/16/2019(3) | 05/16/2028 | Common Stock | 0 | 4,000 | D | ||||||||
| Stock Option (Right to Buy)(4) | $266.39 | 05/30/2020(3) | 05/30/2029 | Common Stock | 4,000 | 4,000 | D | ||||||||
| Stock Option (right to buy)(4) | $223.9 | 05/29/2020 | A | 2,206 | 05/29/2021(3) | 05/29/2030 | Common Stock | 2,206 | $0 | 2,206 | D | ||||
| Explanation of Responses: |
| 1. Grant to reporting person of option to buy the number of shares of common stock set forth on Table II, Column 7, under the Abiomed, Inc. 2008 Stock Incentive Plan. |
| 2. These options become exerciseable in annual 25% increments, commencing on the date shown forth in Table II, Column 6. |
| 3. These options become exercisable in annual 33-1/3% increments, commencing on the date shown in Table II, Column 6. |
| 4. Grant 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. |
| 5. Consists of restricted stock units granted to the reporting person. One third of the restricted stock units will vest and the underlying shares will be issued to the reporting person on each of May 29, 2021, May 29, 2022 and May 29, 2023, so long as the reporting person continues to be employed by the issuer on the vesting dates. |
| /s/ Ian W. McLeod (by power of attorney) | 06/02/2020 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||
