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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) | $ 8.77 | 11/16/2006(2) | 11/16/2015 | Common Stock | 0 | 15,000 | D | ||||||||
| Stock Option (right to buy) (1) | $ 13.57 | 06/01/2007(2) | 06/01/2016 | Common Stock | 0 | 40,000 | D | ||||||||
| Stock Option (right to buy) (1) | $ 11.27 | 05/30/2008(2) | 05/30/2017 | Common Stock | 0 | 10,000 | D | ||||||||
| Stock Option (right to buy) (1) | $ 13.8 | 05/23/2009(2) | 05/23/2018 | Common Stock | 0 | 9,000 | D | ||||||||
| Stock Option (right to buy) (3) | $ 10.03 | 06/03/2011(2) | 06/03/2020 | Common Stock | 0 | 25,000 | D | ||||||||
| Stock Option (right to buy) (3) | $ 22.44 | 05/22/2013(2) | 05/22/2022 | Common Stock | 0 | 20,000 | D | ||||||||
| Stock Option (right to buy) (3) | $ 14.39 | 02/19/2014(2) | 02/19/2023 | Common Stock | 0 | 20,000 | D | ||||||||
| Stock Option (Right to Buy) (3) | $ 23.15 | 05/14/2014(2) | 05/14/2023 | Common Stock | 0 | 20,000 | D | ||||||||
| Stock Option (right to buy) (3) | $ 21.55 | 05/14/2014 | A | 15,000 | 05/14/2015(9) | 05/14/2024 | Common Stock | 15,000 | $ 0 | 15,000 | 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/ Stephen C. McEvoy (by power of attorney) | 05/16/2014 | |
| **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. 2000 Stock Incentive Plan. |
| (2) | These options became exercisable in annual 25% increments commencing on the date shown in Table II, Column 6. |
| (3) | Grant to reporting person of option to buy shares of Common Stock under ABIOMED, Inc. 2008 Stock Incentive Plan. |
| (4) | Sale of common stock pursuant to reporting owner's 10b5-1 plan sold to pay tax obligations upon vesting. |
| (5) | This price represents the weighted average sale price of multiple transactions on the reported date at prices that ranged between $20.6200 and $21.4000. 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. |
| (6) | 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 14, 2015, May 14, 2016 and May 14, 2017, so long as the reporting person continues to be employed by the issuer on the vesting dates. |
| (7) | In addition, performance share awards of up to 10,500 restricted units were granted to this reporting person on May 14, 2014. The number of restricted stock units that will become eligible for vesting pursuant to this award will be determined based on the issuer's fiscal 2015 financial performance. One third of the restricted stock units that become eligible for vesting will vest on the date the issuer first publicly announces its financial results for fiscal 2015. The remaining restricted stock units that become eligible for vesting will vest and the underlying shares will be delivered to the reporting person in equal tranches on each of May 14, 2016 and May 14, 2017, in all cases, so long as the reporting person continues to be employed by the issuer on the vesting dates. |
| (8) | In addition, performance share awards of up to 12,000 restricted units were granted to this reporting person on May 14, 2014. One half of these restricted stock units will vest immediately upon the issuer's achievement of certain regulatory milestones within three years of the date of grant, with the remaining vesting on the first anniversary of such achievement. |
| (9) | These options become exercisable in annual 33-1/3% increments, commencing on the date shown in Table II, Column 6. |