SEC Form 4
| 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) 08/18/2015 | ||||||||||||||||||||||||||
| 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 | 08/18/2015 | M(1) | 146,800(1) | A | $5.86(1) | 386,518 | D | |||
| Common Stock $.01 par value | 08/18/2015 | S(1) | 38,126(1) | D | $105.048(7) | 348,392 | D | |||
| Common Stock $.01 par value | 08/18/2015 | S(1) | 28,530(1) | D | $105.9233(8) | 319,862 | D | |||
| Common Stock $.01 par value | 08/18/2015 | S(1) | 7,214(1) | D | $106.7676(9) | 312,648 | D | |||
| Common Stock $.01 par value | 08/18/2015 | S(1) | 523(1) | D | $107.4812(10) | 312,125 | D | |||
| Common Stock $.01 par value | 08/19/2015 | S(1) | 13,996(1) | D | $102.9076(11) | 298,129 | D | |||
| Common Stock $.01 par value | 08/19/2015 | S(1) | 21,601(1) | D | $103.7841(12) | 276,528 | D | |||
| Common Stock $.01 par value | 08/19/2015 | S(1) | 31,210(1) | D | $104.7292(13) | 245,318 | D | |||
| Common Stock $.01 par value | 08/19/2015 | S(1) | 5,600(1) | D | $105.5014(14) | 239,718 | D | |||
| Common Stock $.01 par value | 36,082 | I | By Trust(15) | |||||||
| 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)(6) | $13.57 | 06/01/2007 | 06/01/2016 | Common Stock | 0 | 82,000 | D | ||||||||
| Stock Option (right to buy)(6) | $13.8 | 05/23/2009(2) | 05/23/2018 | Common Stock | 0 | 28,333 | D | ||||||||
| Stock Option (right to buy)(3) | $18.63 | 06/15/2009(4) | 08/13/2018 | Common Stock | 0 | 76,875 | D | ||||||||
| Stock Option (right to buy)(3) | $5.86 | 08/18/2015(1) | M(1) | 146,800(1) | 05/28/2010(2) | 05/28/2019 | Common Stock | 0 | $0 | 0 | D | ||||
| Stock Option (right to buy)(3) | $5.86 | 05/28/2010(2) | 05/28/2019 | Common Stock | 0 | 56,700 | D | ||||||||
| Stock Option (right to buy)(3) | $10.03 | 06/03/2011(2) | 06/03/2020 | Common Stock | 0 | 105,000 | D | ||||||||
| Stock Option (Right to Buy)(3) | $22.44 | 05/22/2013(2) | 05/22/2022 | Common Stock | 0 | 50,000 | D | ||||||||
| Stock Option (Right to Buy)(3) | $23.15 | 05/14/2014(2) | 05/14/2024 | Common stock | 0 | 21,250 | D | ||||||||
| Stock Option (right to buy)(3) | $21.55 | 05/14/2015(5) | 05/14/2024 | Common Stock | 0 | 85,000 | D | ||||||||
| Stock Option (right to buy)(3) | $66.25 | 05/13/2016(5) | 05/13/2025 | Common Stock | 0 | 35,000 | D | ||||||||
| Explanation of Responses: |
| 1. Sale of common stock pursuant to reporting owner's 10b5-1 plan. |
| 2. These options become exercisable in annual 25% increments, commencing on the date shown in Table II, Column 6. |
| 3. 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. 2008 Stock Incentive Plan. |
| 4. These options become exercisable based on the achievement of certain performance milestones. |
| 5. These options become exercisable in annual 33-1/3% increments, commencing on the date shown in Table II, Column 6. |
| 6. Grant to reporting person of option to buy shares of Common Stock under the ABIOMED, Inc. 2000 Stock Incentive Plan. |
| 7. This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $104.4100 and $105.4000. 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. |
| 8. This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $105.4100 and $106.4000. 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. |
| 9. This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $106.4100 and $107.4000. 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. |
| 10. This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $107.4800 and $107.5150. 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. |
| 11. This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $102.3000 and $103.2750. 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. |
| 12. This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $103.3100 and $104.3000. 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. |
| 13. This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $104.3100 and $105.3000. 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. |
| 14. This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $105.3100 and $105.9000. 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. |
| 15. These securities are held by the Renee D. Minogue Revocable Trust, Renee D. Minogue, trustee DTD 12/29/2005. |
| /s/ Stephen C. McEvoy (by power of attorney) | 08/20/2015 | |
| ** 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. | ||