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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) (1) | $ 14.98 | 01/04/2006(3) | 01/04/2015 | Common Stock | 30,000 | 30,000 | D | ||||||||
Stock Option (right to buy) (2) | $ 9.36 | 06/08/2006(3) | 06/08/2015 | Common Stock | 20,000 | 20,000 | D | ||||||||
Stock Option (right to buy) (2) | $ 8.77 | 11/16/2006(3) | 11/16/2015 | Common Stock | 15,000 | 15,000 | D | ||||||||
Stock Option (right to buy) (2) | $ 13.57 | 06/01/2007(3) | 06/01/2016 | Common Stock | 40,000 | 40,000 | D | ||||||||
Stock Option (right to buy) (2) | $ 11.27 | 05/30/2008(3) | 05/30/2017 | Common Stock | 10,000 | 10,000 | D | ||||||||
Stock Option (right to buy) (2) | $ 13.8 | 05/23/2009(3) | 05/23/2018 | Common Stock | 9,000 | 9,000 | D | ||||||||
Stock Option (right to buy) (4) | $ 5.86 | 05/28/2010(3) | 05/28/2019 | Common Stock | 20,000 | 10,000 | D | ||||||||
Stock Option (right to buy) (4) | $ 5.86 | 03/31/2010(5) | 05/28/2019 | Common Stock | 30,000 | 30,000 | D | ||||||||
Stock Option (right to buy) (4) | $ 10.03 | 06/03/2011(3) | 06/03/2020 | Common Stock | 25,000 | 25,000 | D | ||||||||
Stock Option (right to buy) (4) | $ 22.44 | 05/22/2012 | A | 20,000 | 05/22/2013(3) | 05/22/2022 | Common Stock | 20,000 | $ 22.44 | 20,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Greenfield Andrew J C/O ABIOMED, INC. 22 CHERRY HILL DRIVE DANVERS, MA 01923 |
VP Healthcare Solutions |
/s/ Ian W. McLeod (by power of attorney) | 05/24/2012 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Grant to reporting person of option to buy shares of Common Stock under ABIOMED, Inc. 1998 Equity Incentive Plan. |
(2) | Grant to reporting person of option to buy shares of Common Stock under ABIOMED, Inc. 2000 Stock Incentive Plan. |
(3) | These options become exercisable in annual 25% increments commencing on the date shown in Table II, Column 6. |
(4) | Grant to reporting person of option to buy shares of Common Stock under ABIOMED, Inc. 2008 Stock Incentive Plan. |
(5) | These options became exerciseable in full on March 31, 2010. |
(6) | Represents the grant of a share award for restricted stock units to which one third of the shares will be issued to the reporting person on each of May 22, 2013, May 22, 2014, and May 22, 2015, so long as he continues to be employeed by the issuer on the vesting dates. In addition, additional performance share awards of up to 9,750 restricted stock units was granted to this reporting person on May 22, 2012 with double trigger vesting pursuant to Fiscal 2013 financial performance will determine whether 0%, 33%, 67% or 100% of the underlying restricted stock units are eligible for vesting at which point half of the units eligible for vesting will vest on May 22, 2014 and the other half of the units eligible for vesting will vest on may 22, 2015. |